FCA regulated businesses

Audit and support for financial services companies

Hillier Hopkins LLP

Chartered Accountants & Tax Advisers

Call +44(0)330 024 3200 and discover how we can help you.

Our clients include investment firms, insurance companies, fintech and financial planning firms. We understand your challenges and help you remain compliant whilst avoiding the many pitfalls arising from FCA regulation.

How we can help

Businesses operating within the financial service sector face increasingly complex regulations that can have a dramatic impact on your organisation. Our FCA team have worked within this sector for many years and know the regulatory landscape well. We can support and guide you through the complexities of regulation leaving you to concentrate on growing your business. Our compliance and advisory services are detailed below.

Statutory audit

One of the most common questions we are asked is whether an audit is required. If your company is a MiFID investment firm, authorised insurer, UCITS management firm, E-money issuer or a bank, it is likely you will require and audit, regardless of your size, however, this is not always the case. The rules are complex and it often takes further investigation to establish whether your firm requires an audit as a result of its FCA registration or business activities. Contact us if you’re not sure and we will be able to help. Read more about our statutory audits for FCA regulated businesses 

Client Asset (CASS) audit

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. The type of report required depends on the category of authorisation you hold and we can help you establish what you need to do. Read more about our CASS audits

AAF01/06 assurance reports

These reports show whether internal control operations and procedures are efficient, effective and robust and are becoming an increasingly popular report upon which third parties rely. Read more about our AAF01/06 Assurance reports

Other services

  • FCA GABRIEL filing
  • VAT planning and compliance
  • Risk management
  • Corporation tax
  • Corporate finance
  • General start up advice

Although we don’t currently offer FCA advisory services, we do work with a number of trusted industry professionals and can introduce you.

Contact any of our FCA experts below or get in touch on +44(0)330 024 3200 or hi@hhllp.co.uk and we can arrange a consultation.

"an excellent understanding of the FCA regulations"

"Hillier Hopkins have worked with Spreadex for 20 years as both our auditors and corporate tax advisors. In that time, a close but professional relationship has been developed and maintained between the two organisations. As trust has grown a number of the shareholders and Directors of Spreadex now use Hillier Hopkins for other audit and tax work for other business interests.  Hillier Hopkins also advise some shareholders on their own personal tax. They have an excellent understanding of the FCA regulations that come with such audits and the risks that such firms carry is well understood by Hillier Hopkins which allows them to question intelligently the data and personnel in these areas. They undertake different themes of investigation each year to keep the approach “fresh” and have an experienced team in place to deal with businesses of this nature."
Jonathan Hufford, Managing Director, Spreadex Limited