FCA regulated clients

We have a wide range of clients regulated by the FCA. These include brokers, fund managers, corporate finance boutiques, insurance businesses and financial advisers.

The financial services sector has seen huge regulatory change over the years. 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 have trained staff who can assist you to navigate through the rules and regulations and identify the most relevant information to your particular business.

We provide a full range of FCA compliance services, including:

  • Assistance with the FCA authorisation process
  • Accounts and client money audits
  • Full statutory audit
  • Preparation of regular financial returns to the FCA such as the Retail Mediation and Activity Report (RMAR).
  • Advice on FCA supervisory matters such as the rules regarding capital adequacy for different FCA regulated financial services product providers

If you would like further information on any matters related to FCA compliance, please contact persaswani@hazlemsfenton.com