FSA Regulated Business
For firms either considering applying for FSA authorisation or those already authorised, complying with a new set of complex procedures and rules can seem daunting.
The FSA has recently introduced its new electronic reporting system, GABRIEL, through which firms are required to submit regular data items to comply with their regulatory obligations. With over 10 years experience in the field of regulated businesses, we can offer specialist assistance in producing and submitting these periodic financial returns to the FSA as well as preparing the financial information that forms an integral part of any application for authorisation.
Our clients have included firms in the following sectors:
Securities and Futures Broking
Venture capital / private equity
If you do not have access to a compliance resource in-house, or if you require additional assistance at any time, we would be happy to refer you to a specialist compliance consultancy which deals with the compliance affairs of firms across the full spectrum of regulated businesses.