Regulated Activities

Regulated Activities

Our expert team at Beavis Morgan is available to assist all businesses in meeting their obligations under the Financial Services and Markets Act 2000, and assist regulated firms to meet Financial Conduct Authority handbook rules with a full range of services.

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

Richard Thacker

Client Partner, Beavis Morgan

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Simon Hammerton

Client Partner, Beavis Morgan

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We offer particular experience in helping:

Recording transactions
Funds and other collective investment schemes, both regulated and unregulated
Accounts payable management
Hedge fund managers
Accounts receivable management
Retail stockbrokers
Bank Reconciliations
Corporate finance firms
Assisting an in-house bookkeeper
Energy market participants
Any other management
Insurance brokers
Bank Reconciliations
Mortgage brokers
Assisting an in-house bookkeeper
Representative offices
Any other management
Independent Financial Advisers

The services we can provide include:

Business Services

Business Services

Advising on the regulatory issues for businesses raising capital through share and debt issues

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

Financial Services

Helping you decide if you need to be authorised by the Financial Conduct Authority (FCA)

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

Audit Services

Audits of statutory accounts
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.