43-45 Dorset Street
T: 020 7935 8111
F: 020 7487 3893
No. of consultants: 2-3
Geographic area covered: London, South East, Home Counties
  • London
  • Home Counties
  • South east

Fisher, Sassoon & Marks

We are a chartered accountancy practice specialising in investment businesses regulated by The Financial Conduct Authority. The practice prides itself on offering clear guidance on regulatory issues effecting entities with a view to maintaining best practice. The firm's services cover the following areas: Assisting firms and individuals prepare FCA application packs, including drafting business plans, solvency and capital adequacy declarations, financial forecasts, compliance issues. Reviewing firms' systems and controls, and reporting our findings to senior management. Assisting in completing variation in permission applications. Reporting to the FCA on firm's annual Financial Statements and Annual FCA Return

types of client firm served:

  • Corporate Finance Firms
  • Discretionary fund managers
  • Electronic Money Issuers
  • Energy Market Participants
  • High Value Dealers
  • Institutional investment management
  • Multi lateral trading facility
  • Payments Services Institutions
  • Private Client investment management
  • Secondary Intermediaries
  • Securities and Futures firms
  • Stockbrokers

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Authorisation -FCA
  • Client Assets
  • Compliance advice
  • Compliance Support
  • Documentation
  • Due Diligence
  • Enforcement Action - Financial Services
  • Expert Witness - AML and Payment Services
  • Expert Witness - Financial Services
  • Health Checks
  • Money Laundering/Financial Crime Advice and Reviews
  • Regulatory Returns Assistance