FCA regulated firms

FCA regulated firms

CASS assurance and other supporting services for FCA regulated firms

Fully authorised FCA firms operate in a highly regulated and closely scrutinised environment. Changing regulation, complex reporting requirements and increasing expectations around governance place significant pressure on management teams. At the same time, firms must respond to market volatility and operational change.

FCA firm sector expertise

We work with a wide range of financial firms, including: fund managers, depositaries and other custody asset holders, insurance brokers and other intermediaries, independent financial advice providers, and payment service providers. Our dedicated FCA team has a deep understanding of the CASS rules that govern firms operating in these sectors.

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Our services for FCA regulated firms

As well as a full statutory audit offering we undertake CASS Limited assurance audit engagements across all sectors. We also undertake CASS Reasonable assurance audit engagements, specifically with respect to:

  • CASS 5 engagements (Insurance intermediaries)
  • CASS 6 (Custody rules)
  • CASS 7 (Client money rules)
  • CASS 8 (Mandates)
  • CASS 15 (Payment services and electronic money)

Further to undertaking CASS engagement we can also assist with ad hoc FCA compliance advice requests. This can be via our internal dedicated FCA team or via our highly specialised external FCA compliance expert, depending on the nature of the advice.

Supporting you at every stage

FCA regulated firms benefit from advisers who understand both regulatory detail and commercial reality. We support organisations at every stage, helping you manage compliance and plan for the future.

We typically provide:

  • Advice on if and what type of CASS audit engagement is required for regulated firms
  • CASS Limited and Reasonable assurance engagements across a wide range of sectors as required
  • Statutory audit services, which use a combined team with the CASS audit engagement to ensure an integrated assurance provision experience
  • Any other accounting services firms’ require to meet your business objectives, including:
    • Financial statement preparation – with our detailed understanding of the reporting requirements for the various types of FCA regulated firms
    • Corporation tax preparation
    • Bookkeeping services
    • VAT return preparation or review
    • Payroll services
  • Ad hoc FCA compliance advice requests that arise over the life cycle of the firm

A trusted advisor in a regulated environment

In an environment where accuracy and detailed CASS rulebook knowledge matter, we provide support built around your regulatory obligations and objectives. In doing this we take the time to understand your organisation and your needs.

Kreston Reeves is a full-service accountancy firm and we support our clients across the full spectrum of their needs. Whatever your needs, our experts can provide help, guidance and advice to suit your specific requirements.

Please contact us today to discuss your own circumstances and we can bring in the relevant experts from our offices across London, Kent and Sussex to help you achieve your goals.

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Contact us today

For more information about how we can help you, please contact us today and speak with a member of the team who can discuss your needs in more detail.

Contact us

Leading our team

Alex Tushingham

Alex Tushingham BSc (Hons) ACA

Audit Partner

+44 (0)330 124 1399 Email Alex

Email Alex

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