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 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), and its predecessor 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.

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 as FCA accountants, 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.

Our FCA clients

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. Not only may we audit their accounts, but also provide a full range of compliance and accounting services.

Our clients include:

  • stockbrokers
  • insurance brokers
  • fund managers (hedge and traditional long- only)
  • FX and derivatives dealers and trading platforms
  • corporate finance and private equity houses
  • advisers and arrangers
  • payments services firms.
Specialist services for FCA-regulated businesses

FCA compliance requirements for new businesses

If you are new to FCA regulation, we can assist you with all of the FCA compliance requirements for your new business, from assistance with preparing the initial application pack to ongoing audit and advice.  For information about how we can help, please visit our FCA compliance requirements services page here for new FCA businesses.

FCA compliance solutions for an existing business

Whether you are well established in the sector and looking for guidance with ongoing compliance solutions or ad-hoc advice about how to improve your reporting systems, or you are considering expanding into a new business activity that may require FCA authorisation and are looking for advisors to guide you through the process, we have a range of FCA compliance solutions available to help you manage being FCA regulated.  For information about how we can help, please visit our FCA compliance solutions services page for existing businesses.

FCA compliance audit

Once you become FCA regulated there are fewer firms able to take on your audit. That does not mean, however, that you should be subjected to much higher audit fees or that you are restricted to the very largest firms. We have a long standing specialism in advising financial services businesses and providing FCA-regulated audit services. For more information, please visit our FCA regulated audit service page.

The services we provide to FCA regulated businesses 

To read more about the services we provide to FCA regulated businesses, please visit our FCA compliance solutions pages, with the services section of our website.

Let's talk! Send an enquiry to your local UHY expert.