Financial Services Regulatory - Mazars - United Kingdom
Financial Services Regulatory
The Mid Market regulatory team links with the outsourced and audit teams to provide the expert assistance you need to meet your obligations in the most efficient manner.
Our team specialises in investment firms, fund managers and corporate finance, offering a depth of experience and an up-to-date knowledge of the following areas:
- Applications for FSA authorisation and variations of permission
- Compliance monitoring visits
- Drafting compliance documentation
- ICAAP preparation or review
- Pillar 3 disclosures
- Anti-money laundering training
- FSA financial returns and client asset audit reports
- Pre-regulator visits
- Assistance with special projects
In addition to the above compliance-related services, the team also utilises Mazars Corporate Finance Limited's FSA authorisation to act as Issuer and/or Operator for a range of unregulated collective investment schemes .
National contact
Related Content
Unregulated collective investment schemes
To operate or issue an unregulated collective investment scheme requires the appropriate FSA authorisation.
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- Copyright 2012 - Mazars - United Kingdom
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- Copyright 2012 - Mazars - United Kingdom
