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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PFS workshop – Agent as Client

January 8 @ 1:30 pm - 4:00 pm

Agenda

The Personal Finance Society (PFS) and Diminimis have published two documents on the relationships between advisers and discretionary fund / investment managers (DFMs/DIMs) which we recently circulated to APCC members.

The documents deal with two scenarios under which the relationships can be set up:

  1. Agent as client
  2. Agent of the client

The two documents are:

https://www.thepfs.org/media/7658968/good-practice-guide_dim-addendum.pdf and http://www.diminimis.com/

The APCC will be hosting an event with the PFS on 8th January 2019, in central London from 1.30pm to 4pm.  This will look into the issues and the steps that consultants can take to help client firms.  The PFS focus is from the adviser’s perspective, however amongst the APCC membership there will be consultants who will be dealing with the Discretionary Fund Managers perspective.  We also hope to have representatives from a law firm to offer their perspective and what they are seeing in this space.

Important Information

The event will start at 1:30 PM and will finish about 4:00 PM. Registration opens at 01:00 PM. If you have any enquiries on this form please send an e-mail toadmin@apcc.org.uk. Telephone enquiries can also be made to 0203 693 3805. If you are registering more than one delegate then please complete a separate form per delegate.

To register: Complete the delegate details section and send the registration form(s) and your cheque (if paying by cheque) to: Mrs Bev Robertson, The APCC, 15 Birkdale Business Centre, Weld Road, Birkdale, PR8 2DT or to admin@apcc.org.uk if completing the form and paying online.

Joining Instructions: Once you have been allocated a place, we will confirm this to you by e-mail and include details of the venue and a map.

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 to admin@apcc.org.uk

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:
January 8
Time:
1:30 pm - 4:00 pm

Venue

Offices of DWF
20 Fenchurch Street
London, United Kingdom
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