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Brokers

As a financial services business, you’ll be familiar with operating in a complicated environment that is increasingly regulated and rapidly changing.

In spite of Brexit, the impending arrival of MiFID II with effect from 3 January 2018 will change the landscape again. The new legislation originates from the European Commission and has been introduced following a review of the 2008 financial situation by European policymakers.

The idea is to increase market stability and confidence by having greater transparency and strengthening investor protection through having more competition and reinforced supervisory powers by the Financial Conduct Authority.

At BKL, we have a highly trained financial services team that understands the challenges your business faces. We are committed to helping you to meet your audit, tax and other compliance requirements, allowing you to focus on growth and profitability.

Our experience covers broker-dealer, inter-dealer broker and FX brokerage entities, including many with global operations. Structuring and tax planning are specialist areas for us, as well as more routine statutory audit and tax compliance work including assisting in internal audit work. We also act directly for Appointed Representatives of other regulated businesses.

We are engaged for Client Money audit work for both Reasonableness Assurance Reports and Limited Assurance Reports and ensure that we report to the FCA within strict reporting deadlines.

We are able to provide the following services to brokers:

  • Tax planning and structures
  • Outsourcing services

For more information or help from one of our financial services team, please contact us using our enquiry form.