Financial Services Act Compliance

Over the last few years Kingswood has established a significant role working with firms and their FSA requirements and reporting responsibilities.

Kingswood can assist with:

• Helping a firm register with the FSA including specific assistance with the initial business plan
• Advising on the capital resources requirements as required by the FSA
• Providing back office accounting support producing information for both management and the preparation of FSA reports. 
• The FSA reporting requirements, both financial and non-financial
• Reviewing Scope of Permission Notices and Controlled Function responsibilities
• Acting as an approved FSA auditor

Additionally via Kingswood Corporate Finance Limited we can act as principal under the FSA Appointed Representative regime thereby helping to lift the direct burden of the FSA regulatory and financial requirements.