Financial Services
Helping businesses succeed through robust assurance and relevant advice in a regulated and changing environment.
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With established groups, entrepreneurs and disruptors driving innovation in response to domestic and global regulatory, risk and compliance changes which are often complex, the financial service sector is in a constant state of evolution.
You need a multidisciplinary experienced team who are informed and understand the latest industry changes, to guide you through the rapidly changing sector. We can give you practical advice and support to ensure that you have the correct controls in place, manage risks effectively and create strategy that will drive business growth.
Insurance
Asset and wealth management
Banking
Consumer finance
Money services businesses
Listed and private investment funds
Fintech
Brokers and intermediaries
Independent Financial Advisors
Our services
UK AML supervisors are actively fining businesses and sectors for poor procedures, keeping compliance in the headlines. Over the past year, they have imposed various sanctions, including fines, advice letters, reprimands, warnings, and conditions on firm authorisations. At Crowe, we have been guiding clients through AML audits for over 12 years, offering comprehensive reviews, testing, and recommendations to ensure compliance with legislation and supervisor requirements.
Find out more about our services
Designated Investment Firms (DIFs) that hold client money and/or custody assets in relation to their regulated activities must have a CASS audit. As outlined by the Financial Conduct Authority (FCA), a CASS auditor must prepare a report which gives an opinion on whether the firm:
Other FCA-regulated firms that fall into the CASS regime.
The CASS audit must be delivered within four months of the end of the period. Usually, it is completed at the same time as the financial statements audit, but is a separate exercise, and does not have to be completed by the same auditor.
Our team empower you to deliver your strategic goals by working with you to evaluate:
Discover more about our Risk and Governance, Technology Risk and Cyber Security services and how our specialised teams can support you.
