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.

Loading Events

« All Events

Autumn Conference 2022

September 29 @ 9:15 am - 4:40 pm

£180

Agenda

9.15 – 9.55 Registration and Breakfast sponsored by Comentis Ltd   
9.55 – 10.00 Welcome and Introduction – Julie Ampadu, APCC Chair
10.00 – 10.40 Morning Keynote Speaker – Ian Searle; Head of Department, Consumer Duty, Financial Conduct Authority

The FCA will be providing their key messages and how they are looking for a change in culture following the incoming implementation of the Consumer Duty.  They will look at their expectations of firms as they look to comply with the FCA’s requirements, this will also be a Q&A session with the regulator.

10.40 – 11.05 Alex Viall; Director, Regulatory Intelligence – Global Relay

Horizon scanning overview of what Global Relay are seeing in the Cyber and AML space post-pandemic.

Conference Venue Sponsors

11.05 – 11.30 Frances Murray; Financial Crime Partner – Russell-Cooke LLP

Frances will be conducting a deep dive into the Cryptoassets sphere, exploring the ever-changing regulatory landscape and the impact this has on those in Financial Services, regulated by the Financial Conduct Authority.

11.30 – 11.45 Break
11.45 – 12.15 Amerdeep Somal – The Complaints Commissioner

Amerdeep will provide an overview of The Complaint’s Commissioners latest report and the progress with her recommendations to the FCA following the failure of LFC.  She will also look at the likely causes of complaints in 2022/2023 and the current spike in cases.  Amerdeep will also look at the impact the cost-of-living crisis will have on regulation.

12.15 – 12.45 Duncan Childs; Commercial Banking Director – Metrobank

Duncan will provide an overview of the recent issues being faced by the General Insurance sector and the challenges faced when navigating the FCA’s client money rules and misconceptions around their AML scope.

12.45 – 13.45 Lunch Sponsored by Compliance Recruitment Solutions
13.45 – 14.25 Afternoon Keynote Speaker

Maha El Dimachki; Head of Department, Early & High Growth Oversight – Financial Conduct Authority

Maha will be providing a further update of the FCA’s regulatory Scalebox and the progress on the implementation of a stronger regulatory oversight for newly Authorised firms, who may have additional challenges as they are growing and scaling up their original business models.

14.15 – 14.45 Harvey Knight; Partner, & Natalie Sherborn; Partner – Withers Worldwide 

Anatomy of an Internal Investigation – the potential conflicts of interest that may arise between a corporate firm and its individual owner/managers and directors

In today’s increasingly complex world of corporate governance – the question of when and how a corporate firm (especially when regulated) should conduct an internal investigation is ever present. Harvey Knight and Natalie Sherborn, experts in Withers White Collar Defence & Investigations and Regulatory teams explore the trigger points for an internal investigation and how best to manage the conflicts of interest that may arise between the corporate firm and its individual owner/managers and directors.

14.45 – 15.25 Sha Hussain; Founder, & Sarah Steel; Head of Financial Wellbeing, The Wellness Movement

Back by popular demand, Sha will present a session on mental health, and general wellbeing.  Sarah will then deliver a session covering the financial aspect and wellbeing in the current challenges facing consumers due to the ‘Cost of Living’ Crisis.

15.25 – 15.40 Break
15.40 – 16.10 Elizabeth Hope; Managing Associate, & Guy Wilkes; Finance and Banking Disputes, Mishcon de Reya LLP
Mishcon’s will be providing an overview on non-financial misconduct, including the Code of Conduct and fit and proper test for employees and senior personnel (‘FIT’) and the interplay between them, with recent examples of non-financial misconduct cases and regulatory framework for fitness and propriety (‘F&P’) assessments and decisions by firms.  All of the above to include practical tips / lessons learned from recent cases.
16.10 – 16.35 Sarah Abraham; Head of Redress Solutions, & Simon Robinson; Consultant Actuary – OAC

OAC will be running through the implications for IFAs of recent changes to the FCA’s redress guidance and discussing some current issues in redress including the British Steel consumer redress scheme.

16.35 – 16.40 APCC Update and close – Julie Ampadu, APCC Chair
16.35 – 18.30 Networking event in the same venue – Join us for drinks and canapes, with your fellow consultants hosted by the APCC sponsored by Withers Worldwide

We also would like to thank our additional sponsors

Zing 365 – Conference Collateral

           RPost – Conference Content                  

 

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.


Joining Instructions: Once you have been allocated a place, we will confirm this to you by e-mail which will include joining instructions.


Data Protection: Your data will only be used for the purposes that we have collected it for, however, your details will be appear on information provided to other third parties such the venue organisers for their security arrangements, other delegates etc.


Every now and then, we would like to send you information about the APCC, including update emails and invitations to events. Submitting your details tells us that you have agreed for this occasion and you also agree to our privacy policy. You can, of course, opt out at any time.


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

Date:
September 29
Time:
9:15 am - 4:40 pm
Cost:
£180
Event Category:

Venue

The offices of Global Relay, 45 Cannon Street, London, EC4M 5SB
45 Cannon Street
London, EC4M 5SB