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FCA Regulated Businesses

Sawin & Edwards have considerable experience of this highly specialised area and regularly deal with clients regulated by the FCA. This is a period of immense challenge for such organisations given the level of fines now being levied by the FCA for mis-selling of financial products and failure to fully comply with the CASS rules. Sawin & Edwards are able to help clients meet that challenge. Our services in this area include the following:

  • Assistance with applications to the FCA for registration
  • Acting as auditors of FCA registered firms
  • CASS auditors reports
  • Limited assurance reports
  • Reasonable assurance reports
  • Auditing Mifid investment businesses
  • Client money audits
  • Financial Services audits
  • Advice and assistance with setting up the necessary accounting procedures and controls to enable compliance with the regulations
  • Production of annual accounting timetables to ensure compliance with reporting requirements
  • Dealing with the specific tax issues relating to regulated clients
  • Assistance with the production of management accounts
  • Audit of your systems and procedures
  • Annual production of accounts and audit
  • Helping you keep a good relationship with your regulator

If we can assist you in this area, please contact Witold Sawin