FCA-regulated companies

The Financial Conduct Authority (FCA) regulates almost thousands of individuals and firms, ranging from small firms to global organisations.

The FCA’s rules are wide-ranging and complex, so if you operate in this sector, expert advice can play an important role in ensuring you stay up to date with ongoing changes to the regulatory framework.

At Haslers, we are experienced in working with FCA-regulated firms and our relationships often begin when businesses make initial applications to the FCA.

Preparing application packs that meet the FCA’s strict requirements can reduce the timescale for obtaining approval by several months. We will fulfil the required auditing role in signing off applications and can advise on other areas of the application process, working with legal advisers where necessary.

We can also assist in setting up accounting procedures and controls to keep you compliant with the new FCA framework within which you will operate.

We offer efficient, cost-effective audits, which recognise the specialist nature of FCA-regulated businesses, as well as support with financial administration. We can also help you prepare for regulatory visits and to mitigate and manage risk.

Our FCA specialists have an in-depth knowledge of the financial services sector, enabling us to keep you updated on influences and changes affecting the marketplace. We advise FCA-regulated firms including:

  • general insurance brokers (non-regulated products)
  • Independent Financial Advisers
  • travel agents
  • motor trade businesses.

For more information on our East London and Essex services for FCA-regulated businesses, please contact us.