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 TFAS Compliance Services

Posted at 12:50h in Uncategorised by

At TFAS Compliance Services we provide an extensive range of compliance support which is designed to keep directly authorised financial adviser firms abreast of regulatory developments and provide clear guidance and quality solutions to help you meet the FCA’s requirements.

We are experts at providing directly authorised firms with a helping hand and reassurance.  We can offer support from guidance, file reviews, regulatory due diligence to business development services such as marketing and our events programme.

The contact details are:

Marjolaine Quirke
Managing Director
E: marjolaine.quirke@tfas.com
T: 07515347162

and

Karina Bowden
Chief Executive Officer
E: karina.bowden@tfas.com
T: 07891229584


Address
Second Floor, St. Andrew House, 119-121 The Headrow, Leeds
LS18 5AZ
T: 0800 193 0003
E: tcs@tfas.com
W: https://www.tfas-compliance.com/
Services Offered
  • Advice Pre-Regulatory Risk Assessment
  • Authorisation
  • Authorisations – FCA
  • Bespoke Processes/Procedures
  • Business Development/mentoring
  • Complaint Handling
  • Complaint Handling Reviews
  • Complaints Handling/Reviews
  • Compliance Advice
  • Compliance Auditing/Due Diligence
  • Compliance Support
  • Compliance Training
  • Contract Services/Interim Locum Support
  • Data Security/Protection
  • Documentaation
  • Documentation
  • Due Diligence
  • Enforcement Action – Financial Services
  • Enforcement Action Support
  • File Reviews
  • File Reviews/Monitoring
  • Financial Crime /AML
  • Governance
  • Health Checks
  • Marketing
  • Mis-selling Reviews
  • Paraplanning
  • Pension Reviews
  • Regulatory Returns
  • Regulatory Updates
  • Risk Assessment /Management
  • Skilled Persons Panel – Off FCA Panel
  • Skilled Persons Review Support
  • Supervisory Support /Monitoring /Assessment
  • Training
Firms Served
  • Authorised Professional Persons
  • Claims Management Companies
  • Discretionary Fund Managers
  • Financial Advisors
  • General Insurance
  • IFA – Wealth Mangers
  • IFAs
  • Insurance Brokers – Pure Protection
  • Investment Managers
  • Lead Generation Firms
  • Mortgage Brokers/Lenders
  • Pension Advisers
  • Protection Product Providers
  • Restricted Financial Advisers