Investment Platforms that we work with often require statutory audits, CASS assurance and VAT advice. Wealth Managers and Financial Advisors value our assistance with their statutory accounts, corporation tax and RegData submissions. Whilst regulation has been generally consistent it should always be at the forefront of decision makers minds, the risks to FCA permissions must be under continual review to ensure that this risk, as the greatest threat to consumer investment firms, is minimised.

Regulation, regulation, regulation! A lot is changing for firms in these areas with new safeguarding rules (CASS 15) for payments and e-money firms bringing big changes. Crypto firms have something similar coming and the sooner the preparation starts the easier the adjustment will be. It is an exciting time for companies in these areas and we are working with clients to discuss their business plans and risk management to ensure they are investment ready.

In addition to audit and tax services, we work closely with our MGA and insurance broking clients to assist with their management information. This is key to understanding how the business is developing and having the right information to make strategic decisions. Understanding the implications of important areas such as profit commissions is important in managing the associated liabilities such as corporation tax.

Whether it’s traditional investment modules, debt servicing, or financing arrangements, we collaborate with Fund Management firms to deliver tailored Audit, CASS compliance, and tax services. Robust governance and compliance frameworks are essential for these firms to inspire confidence and secure future investors.

Beyond supporting the management firms themselves, we also audit a diverse portfolio of underlying funds and structures, including AIFs. Our audit expertise spans across various fund activities such as property investment, ventures in quoted and unquoted companies, debt financing, green energy, and commodity trading.