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 increasingly 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:

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

Alternative finance - 'Alt-fi'

The alternative finance sector has grown exponentially since its inception. Where the sector has advanced, so has the regulation. Find out how we are supporting our clients and the sector more generally to overcome these challenges by downloading our PDF.


Monthly regulatory update

Access our latest round-up of regulatory and related topics drawn from a range of resources including the FCA, BSA, CML, HMRC and FOS. The regulatory update is an essential tool for any firm.


vat Cost sharing - is the end nigh?

In the recent CJEU case of DNB Banka the court ruled that a cost sharing group may only apply to organisations who carry out activities which are in the public interest…what does this mean for financial services organisations?

Find out more

Keep up-to-date with the latest insights and events

Related events

Cyber security within financial services seminar
Start date: 8.30am - 08 March 2018
End date: 10.00am - 08 March 2018