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.

Reality Compliance

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
OFFICE F3, GLOBE HOUSE MOSS BRIDGE ROAD ROCHDALE LANCASHIRE
OL16 5EB
T: 01706357002
Email: hello@realitycompliance.co.uk
Website: http://www.realitycompliance.co.uk
Services Offered
  • Authorisation -FCA
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Documentation
  • Due Diligence
  • Enforcement Action - Financial Services
  • File Review
  • Governance
  • Health Checks
  • Information Security/Data Protection (GDPR)
  • Money Laundering/Financial Crime Advice and Reviews
  • Pension Reviews
  • Regulatory Returns Assistance
  • Regulatory Updates
Firms Served
  • IFA (incl IFA divisions of financial institutions)
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Mortgage Brokers
  • Mortgage Lenders/Administrators
  • Pension Advisors
  • Retail investment management
  • System suppliers
  • Third party product providers