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.

Ringrose Wharton Advisory

A specialist firm for IFAs and smaller insurers in PRA and FCA regulation and corporate governance and run by an ex lawyer.

Address
Services Offered
  • Authorisation -FCA
  • Compliance advice
  • Documentation
  • Due Diligence
  • Enforcement Action - Financial Services
  • File Review
  • Governance
  • Health Checks
  • Information Security/Data Protection (GDPR)
  • Payments Services Registration and Compliance
  • Regulatory Capital/Solvency
  • Regulatory Updates
Firms Served
  • Authorised Professional Persons
  • Company Service Providers
  • Corporate Finance Firms
  • Credit Unions
  • Discretionary fund managers
  • Electronic Money Issuers
  • Fintech/Regtech
  • Friendly Societies
  • IFA (incl IFA divisions of financial institutions)
  • Institutional investment management
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Insurers
  • Lead generation firms
  • Lloyds
  • Payments Services Institutions
  • Pension Advisors
  • Private Client investment management
  • Retail investment management
  • SIPP providers