Providing expert assurance to fellow professionals

Did you know ….there are around 58,000 financial services firms operating in the UK currently; employing over 2.2 million people and contributing £65.6 billion in tax to the UK economy?

Regulated by the Financial Conduct Authority (FCA) these firms need to entrust their own business financial matters to professionals who understand the particular compliance requirements of this sector.

We recognise that each business regulated by the FCA is unique so we offer a compliance service bespoke to each client.

Our specialist team can advise if CASS governance applies to your firm and, if required, carry out the audit and prepare the client asset report.

We go further than simply preparing the report and leaving you to deal with the consequences.  We will also review your existing systems and controls and, following discussions with you, make appropriate and commercially viable recommendations.

The FCA’s continuing focus on solvency and capital adequacy make it more important than ever that FCA-regulated businesses adopt an effective approach to managing financial, operational and regulatory risk. Crucial to this is having in place a compliance framework that identifies and addresses issues before problems arise.

Find out how we are able to support financial services professionals here

How we can help

Our specialist financial services experts can help with:

  • CASS audit report
  • Compliance health checks, gap analysis and effectiveness reviews
  • Design and implementation of risk-based compliance monitoring framework
  • Independent reviews of compliance matters
  • Documentation of client money and asset flows
  • Assistance with current reconciliation processes

For further details or to arrange a free, no obligation meeting, please contact a member of our expert financial services team.