Our specialist team undertakes statutory audits for a wide variety of financial services clients conducting regulated business activities including securities and futures firms, investment management firms, intermediaries, investment advisers and brokerages. We have an appreciation of the unique environment in which financial services organisations operate.
The volume and complexity of regulation issued by the Financial Conduct Authority (FCA) can be challenging for most clients and we work closely with you to help you understand how these regulations affect your business.
We help new clients by providing support with the FCA Application process. This includes preparing and reviewing financial projections, discussion on capital requirements, reviewing systems and controls and general consultancy advice throughout the application process. We also offer a range of accounting, audit and regulatory consulting services including: external audit, audit of client money/client assets, completion and review of FCA returns, review of financial resource calculations and review of ICAAPs.
We have extensive experience in dealing with the FCA on many regulatory and compliance issues and are ideally placed to advise you or act on your behalf.