FCA regulated businesses

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 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.

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
  • 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

Get in touch

For any questions about our services, please get in touch with one of our expert advisors.

Our locations

Global Map

View the locations and contact information for over 65 international offices.

Newsletter

Stay informed about all our latest updates and services, and sign up to our email newsletter.

Cookies are used on our site to help give you the best user experience possible and to provide a level of enhanced functionality. If you continue viewing the site without changing your settings, we will assume you are happy to receive all cookies. Your cookie settings can be changed at any time by using the guidelines in our cookie policy. You can also click on the information button for further details.