Frequently Asked Questions

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Showing FAQ's related to: fca regulated businesses

Organisations operating within the financial services arena are under increased pressure to ensure that their internal control operations and procedures are efficient, effective, robust and satisfy their control objectives.Read more

For many FCA regulated firms, a statutory audit is required even though they would normally have a small company exemption under the Companies Act 2006.Read more

Irrespective of whether your firm needs a statutory audit you may require a CASS audit. CASS stands for Client Assets Sourcebook and the rules around this are in place to safeguard client assets.Read more