We provide regulatory and compliance support to commercial and not for profit organisations, typically to professional firms and registered charities.

Our work with professional firms includes assistance to FCA regulated entities, such as checking capital adequacy requirement calculations, assistance with GABRIEL returns, preparing financial statements, producing financial projections and advising on tax efficient structures.

Our professional practices team also assists a range of regulated clients holding client money, with solicitors and chartered surveyors among those we regularly advise. As well as completing Accountant’s Reports, we assist practices in enhancing their systems, improving efficiency and complying with regulations. We can also provide training to fee earners on updates to the rules governing their handling of client money, and provide updates on emerging sector developments.

As a professional firm ourselves, we understand practice assurance, whole firm compliance and designated professional business reviews. We also monitor and train our staff in the latest money laundering and bribery act legislation. We are therefore well placed to pass on this advice to clients seeking improvements and adherence to best practice, whether via specific review engagements in advance of regulatory visits or proactive advice and staff training.

Our extensive experience in the not for profit sector enables us to guide charities in implementing good governance and compliance with charity law. Alongside trustee training and internal controls reviews, we typically advise on organisational structure, leadership, risks and control, board effectiveness, and integrity and accountability.

In addition to Charity Commission regulation, charities are governed by the Charities Act 2011, the Charities (Protection and Social Investment) Act 2016, the Trustees Acts 1925 & 2000, as well as laws on trading, political activities and fundraising. This is a big responsibility for those charged with the governance of a charity, typically consisting of volunteer trustees. For this reason, we offer the necessary support to help charities navigate their way safely through the minefield of regulation. We can also advise charities on their own governing documents.

So whether you are seeking improvements to your control environment, or you require assistance with remedial work following a regulatory visit, our depth of experience in a range of regulated environments makes us the perfect partner to bring peace of mind to your compliance issues.

Get in touch with one of our key contacts below to find out how we can help you fulfil your requirements.