FINANCIAL SERVICES
Brokers
OUR SPECIALIST Financial SERVICES
As a financial services business, you’ll be familiar with operating in a complicated environment that is increasingly regulated and rapidly changing.
The landscape has changed again with the Investment Firms Prudential Regime (IFPR) and Consumer Duty.
Our team understand your challenges. We can help 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, FX brokerage and proprietary trading 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 work closely with appointed representatives of other regulated businesses.
We have expertise in client money audit work for Reasonable Assurance Reports and Limited Assurance Reports. We ensure that we report to the FCA within strict reporting deadlines.
We help brokers with:
- Statutory audit
- CASS 6 audit
- CASS 7 audit
- Preparation of statutory accounts
- Bookkeeping and management accounts
- Specialist VAT for financial services
