Financial services

Whether you work to UK or international regulations, RSM's financial services industry experts will guide you through the complex regulatory landscape providing integrated solutions across the sector.

The UK financial services sector is a complex and multi-faceted landscape. Heavily regulated in the UK and internationally, the challenges of maintaining a profitable and compliant business have never been greater.

Reputational risk is high and increasingly executives in financial services organisations are in the spotlight and being held personally accountable for compliance and best practice. By taking the time to understand your business and business needs, our team can help you meet and overcome these challenges.

RSM can conduct a S165 or S166 (for certain lots) Skilled Persons Review if required. Regulators are writing to firms (sometimes following a supervisory visit) setting out required improvements, rather than issuing a more formal S165 or S166 Skilled Persons Review. In these circumstances RSM can offer to carry out an independent review following completion of the required improvements to provide additional comfort to the regulator and assurance to the firm.

Experienced understanding

Our UK-based experts work closely on international matters through our RSM International partners and can offer support on pan-jurisdictional matters ranging from compliance and regulatory reporting to International Accounting Standards.

We can advise and support on a range of matters, including:

Contact our team today to discuss your regulatory needs.

We work with a range of organisations within the sector, including:

  • asset and fund managers;
  • hedge funds and hedge fund managers;
  • banks;
  • building societies;
  • corporate finance houses;
  • crowdfunders;
  • finance companies;
  • fintech;
  • friendly societies;
  • funds, including venture capital trusts, AIFs and undertakings for the collective investment of transferable securities;
  • independent financial advisers;
  • insurance firms;
  • payment services companies;
  • principal traders;
  • stockbrokers and investment banking; and
  • wealth managers.
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