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 Solicitors

About

We act for:

Mutual and smaller insurers who wish to do corporate acquisitions or disposal of books of insurance business, transfers of engagements and commercial agreements.
For financial advisers and wealth managers who wish to buy or sell their firms and we will assist with all of the daily agreements around running their business.
Corporate trading companies in acquisitions and disposals.
We guide insurers and private companies through the myriad of requirements around corporate governance whether under PRA, FCA or Companies Act requirements.

We assist clients with processes to implement compliance with PRA and FCA handbook rules and work closely with or delegate to compliance consultants where necessary to achieve cost efficiencies.


Address
Services Offered
  • Authorisation - FCA
  • Compliance Advice
  • Documentation
  • Due Diligence
  • Enforcement Action - Financial Services
  • File Reviews and/or Monitoring
  • Governance
  • Health Checks
  • Information Security / Data Protection
  • 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 - Financial Institutions
  • Institutional Investment Management
  • Insurance Brokers - Pure Protection Products
  • Insurance Brokers - General
  • Insurers
  • Lead Generation Firms
  • Lloyds
  • Payments Services Institutions
  • Pension Advisers
  • Private Client Investment Management
  • Retail Investment Management
  • SIPP providers