Our FSA compliance services
The Financial Services Authority (FSA) 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. A number of household name groups and prominent individuals have been on the receiving end of large fines and public reprimands for compliance failures.
Our clients
UHY Hacker Young has dozens of clients regulated by the FSA. Many of them originally came to us right at the start of their businesses, for professional assistance - some would say hand-holding - with their initial applications for FSA authorisation. We not only audit their accounts, but also provide a full range of compliance services, enabling owners and directors to meet their regulatory obligations with confidence.
Our FSA regulated clients range in size from one or two person boutique firms to groups employing hundreds of staff, and across the sector: brokers, fund managers, derivatives dealers, corporate finance and private equity houses, insurance businesses, advisers and others.
A helping hand for your business
Have a look at the following scenarios, and see if one or more of them applies to you. If so, we will be able to provide the professional assistance you are looking for.
I require first time authorisation for a new business
My career to date has been with the big institutions, but now I want to run my own business. I know I will need to be authorised, but I don't really know how to go about it. Also I will need some advice on the tax structure.
We are expanding into an FSA regulated service area
We have an existing business and our growth plans take us into an area which we think requires FSA authorisation. We would like to talk to someone about the consequences without committing ourselves to a big fee.
We are regulated already but require some professional advice
We are reasonably happy with our existing auditors, however we would like to be more comfortable with our FSA rules compliance. We would welcome someone to turn to for experienced professional advice.
We are regulated already but our audit fees are high
We think we are in reasonable shape with our compliance, however our audit fees seem very high. We would be interested in reducing our costs or getting better value for money.
We are unsure how the new financial rules will affect us
We hear all the time about Basel, MiFID, the new Capital Requirements Directive, operational risk and goodness knows what else - and to be honest, we just don't have the time or in-house expertise to keep up with these changes. We probably ought to find someone who can cut through the jargon and explain how it will all directly affect us.
For more information
Alternatively if you have a specific question, or you would just like to find out some more information, please contact Mike Egan directly at m.egan@uhy-uk.com.
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