Regulated Activities
The introduction of the Capital Requirements Directive, along with MiFID – the Markets in Financial Instruments Directive – and other directives, has led to a change in the regulatory landscape that many investment businesses are grappling with.
Additional changes in the UK’s regulatory structure only increase uncertainty and complexity further. But, we are here to help.
Our team of experienced advisory and accounting professionals has more than 20 years’ experience in the sector and our partners are readily available and committed to helping to support regulated businesses.
Key Contacts
We offer particular experience in helping:
The services we can provide include:
Business Services
Advice upon the application of the City Code to acquisitions of public limited companies, whether quoted or unquoted
Limited liability partnerships: impact of rules concerning Collective Investment Schemes
Financial Services
Helping you with your application for authorisation by the FCA
Providing outsourced accounting functions
Assisting with regulatory compliance issues
Tax planning and compliance advice
Audit Services
Audits of compliance with FCA client asset/client money rules
Providing review reports on interim profits
Audit of collective investment schemes under COLL sourcebook or Charities Act 1993 regulations
AAF 01/06 assurance reports on internal controls of service organisations
Audits of statutory accounts
If you are an MIFID investment firm, your annual financial statements will need to be audited. Typically, your audited financial statements will need to be filed with the Financial Conduct Authority within 80 business days of your yearend.
We are available to speak to you about any regulated business/investment business accounting or financial matter.
Please contact Richard Thacker or your usual Beavis Morgan Partner to arrange an initial no fee no obligation meeting.