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.

The Cattellyst Consultancy

The Cattellyst Consultancy is a competence and compliance consultancy, established in 1992, which specialises in the human aspects of regulation. We offer a range of competence, compliance and related management consultancy services to our clients, through which we advise, train and develop senior managers and their staff about the people-related aspects of regulation with a particular focus on managing people risk, the development of competence and expertise, ethical business practices and the enhancement of corporate culture. We carry out senior level assignments relating to corporate governance, learning, personal development, coaching and leadership.

Examples of projects recently undertaken include:

• Advising firms about Senior Management and Certification Regime (SMCR) and Training and Competence arrangements.
• Providing training on the Conduct Rules.
• Supporting Human Resources specialists to deliver the SMCR and prepare for the Consumer Duty.
• Developing and delivering briefing sessions for boards, individual directors and ExCos on corporate governance issues and regulatory obligations, including SMCR.
• Conducting evaluations and audits of board and organisational culture.
• Conducting board level workshops on talent management within a regulated environment.
• Designing and facilitating management, supervisory, conduct risk and technical development programmes for managers with supervisory responsibilities and for control function specialists.
• Authoring guidance material on business culture and ethics.
• Auditing training and competence arrangements to verify compliance with overseas regulatory requirements.

T: 01737555515
Services Offered
  • Compliance Training
  • Training
Firms Served
  • Building Societies/Friendly Societies
  • Discretionary Fund Managers
  • General Insurance
  • IFAs
  • Investment Managers
  • Investment Product Providers
  • Lenders
  • Mortgage Brokers/Lenders
  • Pension Scheme Operators/Providers
  • Protection Product Providers
  • Restricted Financial Advisers
  • Stockbrokers
  • Trade Associations