the DIRECTORY
4th Floor Upper Mezzanine, Becket House
36 Old Jewery
London
EC2R 8DD
T: 0207 7796 0007
E:
http://www.cpaaudit.co.uk/
No. of consultants: 6-8
Geographic area covered:
  • National

CPA Audit LLP

Established in 1989, CPA Audit is a professional and highly experienced Compliance Consultancy advising on all aspects of compliance to the Regulated Financial community in the UK and elsewhere. Headquartered in the City of London, our professionally qualified team foster a culture of interrogation and engagement with clients enabling us to provide tailored advice and services through enduring relationships. We rigorously pursue professional development to ensure our services are always current while remaining flexible to the dynamic needs of out clients. Industrious, pragmatic and dedicated to customer service, we allow clients to get on with their business at hand, safe in the knowledge that all is well on the compliance front.

types of client firm served:

  • Banks/Deposit Takers
  • Collective Investments Funds
  • Consumer Credit Providers
  • Corporate Finance Firms
  • Custodians/Depositaries
  • Discretionary fund managers
  • Electronic Money Issuers
  • Energy Market Participants
  • High Value Dealers
  • IFA (incl IFA divisions of financial institutions)
  • Institutional investment management
  • Insurance Brokers - General
  • Insurers
  • Investment Banks
  • Money Service Businesses
  • Mortgage Brokers
  • Mortgage Lenders/Administrators
  • Multi lateral trading facility
  • Payments Services Institutions
  • Private Client investment management
  • Retail investment management
  • Securities and Futures firms
  • Stockbrokers

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Authorisation - PRA
  • Authorisation -FCA
  • Client Assets
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • Enforcement Action - AML and Payment Services
  • Enforcement Action - Financial Services
  • Health Checks
  • Money Laundering/Financial Crime Advice and Reviews
  • Payments Services Registration and Compliance
  • Regulatory Returns Assistance
  • Regulatory Updates