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Workshop on 24 September at the FSA offices in London

The APCC is pleased to announce a workshop on 24 September at the London offices of the FSA from 9:30 until noon, registration is from 9 am.  The workshop is for compliance consultants and will focus on the promotion of unregulated collective investment schemes by retail financial advisers.  This follows a recent thematic review by the FSA of this area which found significant failings by regulated firms.  This event is free of charge.

All delegates should have received their email invitation from the FSA for this event, please email the APCC if you have not received your invitation.  Some places may still be available for delegates from APCC member firms.  Again please contact the APCC if you would like to attend the event.

 
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01/09/10

What's new


New items recently added to the website include:

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09/07/10

Authorisation Workshop

 The workshop held on 8 July primarily focussed on authorisations and what makes a good application pack.  In addition Simon Collins gave an update on APCC activities and on enforcement issues following his presentation to the FSA at their own internal enforcement conference. 

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10/03/10

2010 London Forum


The APCC  2010 London forum took place on Tuesday 9th March.

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Types of Firms Served

Number of Consultants

  

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Region:
Acumen Compliance Consultancy Limited

Address:

6 Maidenhead Road

Stratford-upon-Avon

Warwickshire

CV37 6XR

 

Telephone: 07889 168999

 

Fax:

 

E-mail: info@acumencompliance.com

 

Website: www.acumencompliance.com

 

ACUMEN is a specialist Compliance Consultancy focusing on providing services to clients in the Asset Management and Retail sectors. Consultancy assignments undertaken include: Interim Compliance Management, TCF implementation, Fund establishment and authorisation, Compliance function restructuring, Fund rationalisation and restructuring, Monitoring (including third party providers of fund management and administration) Complaint handling reviews. ACUMEN's directors have 40 years experience in financial services. In addition, ACUMEN utilises experienced Compliance professionals as Associates.

 

Number of Consultants: 2-5

 

Geographic Area Covered: Throughout UK, Ireland and India

 

Types of Client Firm Served:

Authorised Professional Investment Banks✓
Banks/Deposit Takers✓ Lloyds
Building Societies✓ Mortgage Brokers✓
Collective Investments Funds✓ Mortgage Lenders/Administrators
Corporate Finance Firms Multi lateral trading facility
Credit Unions Payments Institutions
Electronic Money Issuers Pension Scheme Operator/Provider
Energy Market Participants Private Client Investment Management✓
Friendly Societies✓ Retail Investment Management✓
IFA✓ Sale and rent back
Institutional Investment Management✓ Secondary Intermediaries
Insurance Brokers - General Securities and Futures Firms
Insurance Brokers - Pure Protection Products✓ Stockbrokers
Insurers✓ Third Party Providers✓

 

Services Offered:

Authorisation✓ File Review
Compliance Advice✓ Financial Returns Assistance
Compliance Support✓ Health Checks✓
Compliance Training✓ Mis-selling Reviews✓
Complaints Reviews✓ Money Laundering Reviews✓
Documentation✓ Pension Reviews
Enforcement Action✓ Regulatory Updates
Expert Witness Skilled Persons Reports✓
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