Practical and commercial solutions to firms and institutions in the financial services sector
The financial services sector has experienced significant change over recent years and businesses operating within this sector face a complex operating environment.
The Financial Conduct Authority (FCA) have introduced a number of policy statements that have further changed the compliance obligations that financial services firms must adhere to.
The volume and complexity of the FCA rulebook is intimidating and our aim throughout is to assist our clients in simplifying the process and helping them with their compliance requirements. We understand the pressures faced by compliance officers and have developed an insight into how clients can most effectively communicate with the regulator should the need arise.
We have considerable experience in this sector and currently act for many FCA regulated clients ranging from small owner managed businesses to medium and large entities which include:
Our team of experts provides practical and commercial solutions to firms, financial institutions fund managers and compliance consultants in the financial services sector. Our approach is to not only assist our financial services clients with meeting the compliance and reporting requirements of the FCA, but also to provide other professional services such as audit, tax planning, business structure and corporate finance to help our clients grow their businesses and achieve their own objectives.
We are committed to delivering a partner-led, high-quality, practical and cost-effective service that helps mitigate the pressures faced by businesses in this complex and highly regulated sector.
Posted by Gary Mackley-Smith on January 3, 2018
From 3 January 2018, legal entities such as companies, trusts, partnerships and charities have to have a Legal Entity Identifier (LEI) if they wish to trade on financial markets in the UK, or continue to […]
Posted by Christopher Trantham on March 7, 2017
We have continued to see a good level of activity in the M&A market for investment advisory firms for both share and asset / client book deals. Whilst the immediate economic benefits of such a […]