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.

Association of Professional Compliance Consultants

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  • 24th August 2020 at 2:05 pm #2832
    AvatarVincehc3@gmail.com
    Participant

    Good afternoon
    A client firm has asked about the process e.g. what documents will be required, when the temporary permissions window re-opens at the end of September – the FCA website doesn’t appear helpful or maybe I have missed something?

    Hope someone can help.

    Regards

    Vince

    28th August 2020 at 3:51 pm #2835
    AvatarVincehc3@gmail.com
    Participant

    I have now spoken with the FCA supervision hub who confirmed that there is a process but because it isn’t on their website they can’t tell me what it is!! You couldn’t make it up.

    30th September 2020 at 3:20 pm #2967
    Avatardavida@compliancemanagement.co.uk
    Participant

    The TPR window is now open again as of today, and looking at Connect the information the FCA ask for is extremely minimal! As far as I could see from setting up a dummy application, no documents are required at all (at least not for GI intermediaries, anyway, which is my area of expertise).

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