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