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.
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
- 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.