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.

Pillar 4 Consultants Limited

About

We are a newly established compliance consultancy with nearly 70 years in combined financial services experience servicing clients. Our Consultants have worked diligently throughout their careers with both FCA and PRA regulated firms supporting them in all compliance needs covering both conduct and prudential regulatory considerations. Our core mission and objective is to establish valued relationships with clients and provide practical compliance solutions to our clients’ compliance needs.

Our experience has enabled us to understand the regulator’s requirements and perspective whilst at the same time provide practical and cost-effective solutions to clients. We strive to be the bridge between the Regulator and our clients!

We are not your typical compliance consultant. Our consultants have worked in multi disciplines prior to committing their careers to compliance. This includes financial modelling and equity valuation, fund management, risk advisory, internal audit, and marketing and client relation management. What this all means is that we are able to better understand your business needs and risks whilst at the same time provide solutions that meet regulatory expectations.

Our focus is on providing a full suite of authorisation and post authorisation compliance, regulatory, and risk support to investment firms. We have immense experience working with all types of investment firms- buy side, sell side, advisors, corporate finance firms, and market operators. Our consultants are familiar with all financial asset classes and have a deep understanding of the prudential rules around them.

We look forward to working successfully with clients and strategic business partners.


Address
1 ROYAL EXCHANGE AVE, CORNHILL, LONDON
EC3V 3LT
T: 020074594607
E: contact@pillar4consultants.co.uk
W: http://www.pillar4consultants.co.uk/
Services Offered
  • Advice pre regulatory risk assessment or supervised visit
  • Authorisation - FCA
  • Authorisation - PRA
  • Complaints Handling
  • Complaints Handling Reviews
  • Compliance Advice
  • Compliance Support
  • Compliance Training
  • Contracting / Interim
  • Documentation
  • Due Diligence
  • EU / International Compliance
  • File Reviews and/or Monitoring
  • Governance
  • Health Checks
  • Information Security / Data Protection
  • Money Laundering / Financial Crime
  • Payment Services Compliance
  • Regulatory Hosting / Incubation
  • Regulatory Relationship Management
  • Regulatory Returns
  • Regulatory Updates
  • Risk Management
  • Skilled Persons Panel - Off FCA Panel
Firms Served
  • Banks Deposit Takers
  • Building Societies
  • Collective Investments Funds
  • Corporate Finance Firms
  • Crypto (Capital Markets)
  • Custodians/Depositaries
  • Discretionary Fund Managers
  • Energy Market Participants
  • Fintech / Regtech
  • High Value Dealers
  • IFA - Financial Institutions
  • IFA's - Wealth Managers
  • Institutional Investment Management
  • Investment Banks
  • Managing General Agents
  • Multi Lateral Trading Facility
  • Pension Scheme Operator/Provider
  • Private Client Investment Management
  • Restricted Financial Advisors
  • Retail Investment Management
  • Secondary Intermediaries
  • Securities and Futures firms
  • SIPP providers
  • Stockbrokers
  • System Providers
  • Third Party Product Providers
  • Trade Associations - professional bodies and regulators
  • Trust Service Providers
  • Wrap Platforms