Brokers & dealers

Our dedicated team of professionals has an in-depth knowledge of the broker sector and first-hand experience of working with our own in-house compliance and regulatory teams on matters affecting brokers. 

Expertise and knowledge

We have a financial services technical committee that ensures we and our clients are kept up to date on all regulatory matters affecting broker businesses.

Our services to brokers & dealers

We advise brokers and dealers on a wide range of services from audit and tax, to advisory and financial planning. These include: 

• annual statutory audits of companies and funds
• audit of interim profits
• regulatory issues such as:
  • preparing for CRD
  • project managing the preparation of ICAAPs
  • assistance with regulatory reporting to the FSA
• due diligence work
• taxation compliance
• VAT & PAYE advice

We also assist brokers in their application to be regulated by the FSA and provide up to date tax advice including suitability on whether broker firms should operate as an LLP and what appropriate VAT treatment can be applied.

Contact us 

If you would like to get in touch and find our more about our services, please contact Giles Murphy