FCA REGULATED ENTITIES

FCA-regulated entities are required to appoint an auditor if your firm is a collective portfolio management firm, a UCITS firm, an internally managed AIF, or a MiFID investment firm that is a sole trader or partnership. The regulations concerning audit requirements are located in SUP 3 of the FCA Handbook. Entities regulated by the FCA must engage an auditor if the firm manages client money or custodial assets and is classified under the categories specified in SUP 3.1.2R.

If you are uncertain as to whether your activity falls within this category, we suggest that you consult with your compliance consultant for guidance. If you ascertain that your company necessitates an audit, it is crucial to move promptly, as the reporting date to the FCA is typically 80 business days following the conclusion of your financial year.

An auditor must be registered with a recognised professional body to provide this service. We are registered with The Association of Chartered Certified Accountants (ACCA) and are authorised to operate as registered auditors in the UK under registration number 2000001015.

We have a wealth of experience in auditing FCA-regulated entities. Please do not hesitate to contact us if you require assistance initiating the process.

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