FCA-regulated businesses

We have considerable experience working with FCA regulated businesses and guiding them through the strict and wide ranging regulations they must adhere to.

We specialise first and foremost in advising the owners and directors of smaller and medium-sized firms how they can achieve full compliance with the FCA rules in a clear and economical way. Additionally, we offer the audit, tax planning and other professional services you would expect of a leading mid-tier City firm.

The Financial Conduct Authority (FCA) can seem a pretty intimidating regulator; the rulebook is huge, and often complex. Even the largest businesses sometimes find it difficult to keep up with the constant stream of rule changes, policy documents, and consultation papers.

Failing to comply or missing a deadline can result in financial penalties being imposed, and a number of household name groups and prominent individuals have been on the receiving end of large fines and public reprimands for compliance failures.

Advising FCA regulated businesses is a highly specialist area.  Our team of experts has in-depth knowledge of the financial services sector gained through years of experience advising clients in the sector on the ever changing rules and regulations.  We can help you avoid the pitfalls, regardless of your situation or business operation.

We have dozens of clients regulated by the FCA. Many of them originally came to us right at the start of their businesses, for professional assistance with their initial applications for FCA authorisation. We not only audit their accounts, but also provide a full range of compliance services.

Our clients include:

  • stockbrokers;
  • fund managers (hedge and traditional long- only)
  • FX and derivatives dealers and trading platforms;
  • corporate finance and private equity houses;
  • advisers and arrangers.

For more information about the services we offer our clients in the FCA-regulated businesses sector, visit the FCA-regulated businesses sector page on our main website.