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.

Effecta Compliance Limited

Effecta was born out of the idea that regulated entities require more than just detailed generic advice and that the value for money shouldn’t be determined by the size of the report. The same reasoning applies to policies and procedures where generic and gigantic usually doesn’t mean value added and in the worst case scenario can lead to audit and regulatory findings when the documents do not reflect what is actually happening within the firm.
At Effecta we are aware of pressures placed on Compliance Officer and MLRO’s and receiving a highly detailed report or an over engineered set of Compliance documents can lead to even more work rather than easing the burden or providing real solutions. We want our consultants to be an extension of your Compliance team, there to support them to get the job done and provide valuable insight into what industry standards are developing to ensure you are not left behind the regulatory curve.
Effecta was set up with a specific ethos in mind and it is the basis of our name. We want all the work that we undertake for you to be “Effective”. Whilst this statement in itself seems relatively straight forward, the key is that it has to be effective for you. As the regulatory landscape develops and changes so does business and with it the needs of the business. Many times, we find regulations dictating the way we do business which can sometimes act as a barrier or additional cost. What makes Effecta different is that we look for the solution which not only complies with the regulations but that can be integrated within your business model. Policies and procedures written in a silo may tick a box but can also provide auditors and regulators with ammunition if what is stated has not been followed. Not only will Effecta design policies and procedures specific to your business we can help you implement them as well. As Compliance Officers/MLRO’s our consultants understand the benefit of good controls which do not stifle business but allow it to grow. We will not provide you with a one hundred-page report where this detail does not add value ensuring that our services make a positive contribution for the long term.

Address
4th Floor 27-32 Old Jewry London
EC2R 8DQ
T: 02030608830
E: ccurtis@effectacompliance.com
W: https://www.effectacompliance.com/
Services Offered
  • Advice pre regulatory risk assessment or supervision visit
  • Authorisation -FCA
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Contracting/Interim
  • Documentation
  • Due Diligence
  • File Review
  • Governance
  • Health Checks
  • Money Laundering/Financial Crime Advice and Reviews
  • Passporting/International Compliance
  • Regulatory Capital/Solvency
  • Regulatory Hosting/Incubation
  • Regulatory Relationship Management
  • Regulatory Returns Assistance
  • Regulatory Updates
  • Skilled Person Panel - Governance, Controls & Risk Frameworks
Firms Served
  • Authorised Professional Persons
  • Collective Investments Funds
  • Corporate Finance Firms
  • Crypto (Capital Markets)
  • Discretionary fund managers
  • Institutional investment management
  • Investment Banks
  • Money Service Businesses
  • Multi lateral trading facility
  • Private Client investment management
  • Securities and Futures firms
  • Stockbrokers
  • Trade associations, professional bodies and regulators
Upcoming Events
  1. Integrity at Work Webinar

    12th January 2021 @ 9:30 am - 10:30 am
  2. APCC Virtual Spring Conference 2021

    9th March 2021 @ 10:00 am - 10th March 2021 @ 2:00 pm