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.

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APCC Virtual Autumn Conference 2021

November 3 @ 9:30 am - November 4 @ 9:30 am

£160

As we recover from the “chaotic disruptions” caused by the Covid-19 pandemic, it has never been more important for the Financial Services industry to focus on their efforts to rebuild quickly.  Our Autumn Conference will be concentrating on the massive disruption caused by the pandemic and focus on the issues that are now surfacing as our industry trends toward slowly opening back up, it is time to look forward and prepare for what’s next.

By adapting to the changes in consumer behaviours and preferences, restructuring internal operations, and being aware of the impact the pandemic has had on vulnerability, financial and cyber-crime more specifically, our members will be best placed to prepare for a new look 2022.

As always, this includes key industry stakeholders such as the FCA, the Complaints Commissioner and experts in their field.

Agenda

Day One – Wednesday 3rd November 2021

09.30 – 09.40 Ian Beardmore – APCC Chair

Welcome and introduction 

09.40 – 10.10 Helen Pettifer – Helen Pettifer Training, Vulnerable Customer Consultant and Trainer

Helen will be sharing her insights on the changing shape of vulnerability as we move towards a post-Covid world. Referring to the FCA Guidance, Helen will explore some of the key circumstances’ individuals will experience over the winter months together with what organisations can do to support them and prevent further harm, both now and long-term.

10.10 – 10.45 Dr Roger Miles – Leads UK Finance’s Academy for Conduct and Culture reporting, visiting lecturer at Cambridge University and UK Defence Academy; Head of Board risk governance research for BP&E Global (Board effectiveness advisors).

Preparing firms for Culture Assessment: engaging with the ‘new FCA’, its Six (yes, six) Conduct Questions and other reporting challenges.  “The all-change of leadership and senior management at the FCA has brought a shift in emphasis, with regulators now keener than before to see front-line evidence of ‘purposeful culture’, ‘values in action’ and ‘psychological safety’. What new indicators and report formats that this new style of ‘culture audit’ require? Drawing on research collaborations with APCC and conversations with senior conduct regulators worldwide, this session reveals the a future of risk reporting that’s firmly human-centric.

10.45 – 10.55 Comfort break  
10.55 – 11.30 Amerdeep Somal – The Complaints Commissioner

Providing an overview of the spike in complaints that they are seeing post pandemic, focussing particularly on the raise of ‘vulnerable customers’ and the behavioural changes to the FS demographic.

11.30 – 11.45 Mazhar Manzoor – B.Sc(Hons), FCA, BFP, Prince 2 Practitioner, Certified Financial Analyst
Director of Risk, Regulation & Financial Crime, ESMA Compliance Consultants
 Mazhar will provide an update on the incoming IFPR requirements and his work with the FCA ahead of 2022.
11.45 – 12.20 Matthew Tyrrell – Senior Manager, Accountable Executive Future of Data Collections, FCA

Matthew will be giving an overview of the FCA’s outcomes and learning following the move from GABRIEL to RegData and look at the FCA’s forthcoming projects including how they will use “digital” to collect better data as part of a wider ‘Transformation program’

12.20 – 12.30 Richard Farr – CEO, Telos Solutions

Richard will provide an overview of the APCC’s ‘soon to be launch’ Operational Committee and how this will shape our focus in the future.

Day Two – Thursday 4th November 2021

09.30 – 09.40 Ian Beardmore – APCC Chair

Welcome and introduction

09.40 – 10.10 Maha El Dimachki, FCA Head of Department; Data, Technology & Innovation Division, Financial Conduct Authority

Following on from the FCA’s recent ongoing workshops, Maha will provide an update on their work during the pilot of this project.  This will cover the Early Oversight work, looking at the challenges faced by newly regulated Fintech firms and how they interact with the regulator, before moving to the High growth oversight (Scalebox) for those firms who may have additional challenges as they are growing and scaling up their original business models.

10.10 – 10.35 Sarah Wallace – Partner, Constantine Law

Sarah will be looking at the FCA’s recent work highlighting whistleblowing and some issues that non-financial misconduct can lead to.

10.35– 11.00 Nick Gumbley – Head of Cyber Security, FSCom Ltd

Looking at cyber-security and the problems we are all facing post-pandemic.

11.00 – 11.10 Comfort break
11.10 – 11.40 Andrew Jacobs – Partner & Charlie Baillie – Senior Manager, DWF Regulatory Consulting

DWF lift the lid on their latest piece of Financial Crime benchmarking and share some insightful finings for clients, including:

•             What is the true cost of Financial Crime prevention?

•             How are institutions deploying their resources to prevent financial crime?

•             Top takeaways and questions businesses should be asking themselves

11.40 – 12.10 James Alexander – UK Sustainable Investment and Finance Association

James will be providing an overview of UKSIF and consider “how sustainable the UK Financial Services Industry is”

12.10 – 12.30 Nathan Cookson & Suzanne Hall, Pearson UK

Pearson will provide an overview of the incoming T-Levels that will provide an alternative route into Financial Services in 2022.

12.30 – 12.40 Ian Beardmore – APCC Chair

Closing remarks.

Register here

Payment Details

Please make a BACS payment to;
Account name: APCC
Sort code: 40-43-23
Account number: 81360590
Please show your delegate name as the payment reference

IMPORTANT INFORMATION

If you have any enquiries on this form please contact us here. Telephone enquiries can also be made to 0203 195 3827. If you are registering more than one delegate then please complete a separate form per delegate.

To register: Complete the delegate details above.


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Change of delegate: If you are unable to attend the forum and one of your colleagues is attending in your place please confirm this change here.


Cancellation: A cancellation fee will be charged at 50% if cancelled more than 2 weeks prior to the event. A charge of 75% will be made if within 1 week of the event with no refund being given if cancelled within the week leading up to the event..

Details

Start:
November 3 @ 9:30 am
End:
November 4 @ 9:30 am
Cost:
£160
Event Category:

Venue

(Virtual Event)
United Kingdom