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SERVICES BY SAWIN & EDWARDS LLP
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