Association of Professional Compliance Consultants

The body for compliance consultants who advise firms regulated in the UK.

The APCC is active in enhancing the professional standards of compliance consultants and is recognised as a trade body by the FCA and other regulators. This provides our members with significant benefits in terms of direct access to the Regulators as well as business leads.  The APCC often works in conjunction with the FCA to pilot or test new initiatives, and we also provide with valuable feedback on specific subjects as requested by them.

Reality Compliance

Reality Compliance is a compliance and business consultancy with expertise in retail financial services. The business was founded in 2011 by Chris Yates, who has 26 years compliance experience in regulatory roles and has dealt with the regulator on numerous occasions.

We provide bespoke compliance services to match your individual needs. The key services we provide are:

• Compliance visits (onsite and remote)
• Annual healthcheck/audit
• Consumer Duty support
• File reviews (suitability of advice)
• Training & competence (T&C) support
• Support for FCA information requests/visits
• FCA authorisations
• RegData return assistance

There are no monthly membership fees, all services are payable on a pay as you go basis.

We also offer an external paraplanning service, Apex Paraplanning (www.apexparaplanning.co.uk). A full range of research, report-writing and due diligence services are available. Please contact hello@apexparaplanning.co.uk for more details


Address
The Old Police Station, 22 Hind Hill Street, Heywood
OL10 1AQ
T: 0161 464 0672
E: hello@realitycompliance.co.uk
W: http://www.realitycompliance.co.uk
Services Offered
  • Bespoke Processes/Procedures
  • Business Development/mentoring
  • Complaints Handling/Reviews
  • Compliance Auditing/Due Diligence
  • Compliance Support
  • Compliance Training
  • Contract Services/Interim Locum Support
  • Data Security/Protection
  • Documentaation
  • File Reviews
  • Financial Crime /AML
  • Governance
  • Marketing
  • Regulatory Returns
  • Risk Assessment /Management
  • Skilled Persons Review Support
  • Supervisory Support /Monitoring /Assessment
  • Training
Firms Served
  • Discretionary Fund Managers
  • Investment Managers
  • Trading Facilities