FCA Regulated Businesses

The financial services sector has experienced significant upheaval over recent years with increasingly complex rules and regulations that regulated businesses have had to comply with.

The Financial Conduct Authority (FCA) have introduced a number of changes that further tighten the compliance work and reporting deadlines that financial services firms must adhere to.

Who we work with

We act for a number of FCA regulated clients ranging from small owner-managed businesses to medium and large entities. The services we can offer include:

  • Investment funds
  • Fund managers
  • Independent financial advisers
  • Insurance and retail companies
  • Enterprise Capital Funds

Our experience within the sector

  • Assisting and advising clients with filing the various GABRIEL returns to the Financial Conduct Authority (FCA). This includes assisting and checking capital adequacy requirement calculations
  • Advising on tax efficient structures for new FCA regulated business entities and restructuring existing business combinations to adapt to changes in FCA rules and Government legislation
  • Assisting with preparation of financial statements for a £30 million Enterprise Capital Fund including preparing appendices for AUP reporting
  • Advising on the latest FCA reporting and compliance requirements
  • Reviewing and reporting on internal control weaknesses and assisting with designing and implementing improvements to the entities’ systems and controls
  • Specialist tax advice covering a range of FCA regulated business entities from LLP’s, limited companies to Enterprise Capital Fund structures, including providing advice to individual partners

What we do

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 and business structure to help our clients grow their businesses.

The volume and complexity of the FCA rulebook is intimidating so our aim throughout is to assist you in simplifying the process and helping you with the compliance requirements and GABRIEL reporting.

The next step

Our highly specialist team have a wide range of experience in the sector and we are always available to discuss any questions that you may have. If you’d like to discuss how we could work together please contact Jon Vickery→ on 01483 416232.