FSA Regulated Businesses

Shaw Gibbs is qualified to carry out audits for all types of FSA regulated businesses.

Why choose Shaw Gibbs?

Shaw Gibbs has extensive experience in this area both with firms such as independent financial advisers who have long been regulated by the Financial Services Authority (FSA) and with those who have more recently become regulated such as mortgage and general insurance intermediaries.

We have a dedicated team of individuals, headed by two experienced audit partners, who are fully conversant with both the FSA Handbook of Rules and Guidance and International Standards on Auditing (UK and Ireland).

Our audit process, centred on an in-depth knowledge of your business, is tailored to ensure that the high level standards and other key requirements as defined by the FSA are being met.
At the start of the audit we hold discussions with key individuals at your organisation to ensure that we are fully aware of the operational and financial matters specific to your business. The audit is concluded with a formal meeting to discuss matters arising and to report our observations and recommendations.

How we can help

In addition to providing audit, accounts and taxation compliance services, we also offer advice and guidance relating to issues specific to FSA regulated businesses as well as general business advice, such as:

• Business structures
• Compliance with FSA regulations
• Annual returns for the FSA
• Accounting systems and procedures
• VAT advice
• Corporate and shareholders tax planning
• Succession for owner managed businesses

Who we work with

• Mortgage and general insurance intermediaries
• Personal investment firms (e.g. independent financial advisers)
• Designated investment firms (e.g. appointed representatives)

For more information please contact Stephen Wetherall on 01865 292 200 or stephen.wetherall@shawgibbs.com. For updates on the latest news and details of our upcoming seminars, please click here.