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.

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02 Nov Reality Compliance

Posted at 12:34h in Uncategorised by

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 22 years compliance experience in regulatory roles and has dealt with the regulator on numerous occasions. We specialise in pension transfer business and take on referrals in this area from other compliance service providers.

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

Compliance visits (including annual audits)
Remote files reviews (including specialist areas such as pension transfers, long term care and equity release)
T&C guidance
GABRIEL completion assistance
Documentation assistance
Regulatory updates
Assist with any engagement with the FCA

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

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


Address
The Old Police Station, 22 Hind Hill Street, Heywood
OL10 1AQ
T: 01706357002
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