FSA Regulated Clients
Our FSA clients
We have a wide range of clients regulated by the FSA. These include brokers, fund managers, corporate finance boutiques, insurance businesses and financial advisers.
The financial services sector has seen huge regulatory change in recent years. The latest change is the introduction of The Markets in Financial Instruments Directive (MiFID), which came into effect on 1 November 2007... .The rules under which financial services businesses operate are complex and their applicability vary from business to business depending upon the precise nature of the financial service or product provided and the category of authorisation obtained. We, at Hazlems Fenton LLP have trained staff who can assist you to navigate through the 12,000 plus pages of rules and regulations and identify the most relevant information to your particular business.
Particular services to FSA authorised businesses
We provide a full range of FSA compliance services, including:
- assistance with the FSA authorisation process
- accounts and client money audits
- full statutory audit
- preparation of regular financial returns to the FSA such as the Retail Mediation and Activity Report (RMAR).
- advice on FSA supervisory matters such as the rules regarding capital adequacy for different FSA regulated financial services product providers
Further information
If you would like further information on any matters related to FSA compliance, please contact Pers Aswani directly at persaswani@hazlemsfenton.com.