Financial services customers need to feel safe entrusting their assets to regulated financial services businesses. This includes knowing that, if a regulated business fails, client assets can be readily segregated from assets owned by the firm and be promptly returned to customers. For this reason, the Financial Conduct Authority (FCA) has made dedicated rules to protect client assets held by regulated firms.
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Protecting client assets can be a complex area requiring your business to establish robust procedures and undertake regular oversight and monitoring. Compliance Matters UK are available to provide advice and support for regulated firms (both large and small) on establishing effective protection for your client assets and complying with your regulatory obligations.
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To learn more about how we can support you with your managing your clients assets/money, click the button below to book a free no obligation consultation.