Financial Services

Board-level assistance and specialist services Proactive services to help Boards manage and control any potential legal, regulatory and reputational risks:

• Controlsassurance – independent verification of business functions and technology

• Thirdpartymanagement – ensuring your agents, suppliers and JV partners are maintaining the level of governance standards and controls that you demand of them

• SSAE16– are you or your suppliers meeting or exceeding the controls expectations of the marketplace? We can certify according to the recognised standard

• ITaudit – examination of your data centres, systems, people and IT governance by our fully certified audit team to ensure it meets best practice standards

• Informationsecurityadvice – a breach of your systems can mean serious losses for you and your clients. Are you confident your systems are up to the task?

• Dataprotection – data loss of any kind brings public scrutiny, reputation loss and potential financial penalties – don’t be caught out!

• Businesscontinuity– supply chain risks, large scale power outages and “special events”. Our team provides you with independent verification of your plans

• Regulatorycompliancesupportservices – including client money audits and ‘healthchecks’; preparation of ICAAPs and Pillar 1-3 disclosures; FCA applications, permission and status amendments; financial crime advisory (eg Insider trading, AML, Bribery Act); ongoing compliance support, ad hoc advice and training on impending regulations.

The fundamentals

Kingston Smith offers a wide range of competitive services to assist your business on a day-to-day basis:

• Accountancyadvice – our approach reflects our many years’ experience and demonstrates an understanding of what our clients need

• Businesstaxplanning,complianceandadvice – all aspects of tax advice including tax structuring, corporate tax compliance, transfer pricing and corporate tax planning

• Financialaudit– managed with a thorough understanding of your business giving reassurance from a technical perspective and carried out with enthusiasm and responsiveness

• Managementaccountsandbookkeeping – ensuring that your business runs smoothly and has effective reporting, allowing you to make informed business decisions

• Corporatefinance – including capital raising, mergers, acquisitions, stock market floatation and exit strategies

• Personaltax,inheritancetax,estatesandfinancialplanning – full services of support for business owners, including succession planning.

“Worldwide Currencies had been looking for new advisers to take on our audit and, on meeting with Kingston Smith, they quickly understood our requirements and were able to offer us a different perspective on how we could further grow the business. We received innovative strategic advice that no other firm had considered, which has helped reshape what we do. We see Kingston Smith as a dedicated business partner and a close adviser to Worldwide Currencies and would happily recommend them.”

David Tucker, CEOWorldwide Currencies Limited

The regulatory burden facing financial services businesses continues to develop. The continuing spotlight on corporate governance, movement of supervisory powers towards Brussels and structural change in the regulator at home means successful businesses in the sector have to factor the latest shifts into their long term strategies. Working with a trusted business adviser to guide you through the changing landscape has never been more crucial.

Kingston Smith is a full service, multi-disciplinary, professional advisory firm and is able to assist clients in the critical aspects of their business. Our dedicated Financial Services Group provides an integrated, best in class service to firms of all sizes across the financial services sector.

We boast a range of highly qualified accounting professionals, providing audit, accountancy and tax advisory services. In addition, our specialist consulting division consists of senior financial services sector professionals specialising in controls assurance, data protection, information security and regulatory compliance.

High trust adviser

Close at hand but with global links

As a top 20 firm of chartered accountants, we have the capabilities to support you as your business develops both in the UK and overseas. As a founding member of KS International (an association of independent accountancy and legal firms giving coverage in more than 60 countries and over 250 offices around the world), we can also meet your international business needs. We have helped many overseas businesses to set up operations in the UK as well as supporting our UK clients’ expansion abroad.

Dedicated partner

We want to help our clients succeed. That’s why we provide each client, irrespective of size, with a dedicated client service team headed by a partner and a manager who are genuinely accessible.

In addition to the services listed in this brochure we support our clients with a proactive approach; hosting a number of sector specific events throughout the year and sending regular “best practice” advice and guidance via our publications and e-bulletins. These are designed with you and your business in mind and help to ensure that you are fully supported.

People led approach

We recognise the critical difference human capital makes in your enterprise:

• FCAapproval– expediting and managing the registration process for key staff

• Recruitmentspecialists– extensive database of experienced and pre-qualified candidates

• HRandemploymentlawissues – experienced HR consultants provide a one-stop-shop for all your employee-related needs

• Privateclientservices– including personal tax and financial planning

• Wealthandestatesadviseryservice – to assist you and your employees in compensation planning.

How our Financial Services team can help

We have a multi-disciplinary, specialist financial services team headed by five partners and we also offer a consultancy service specialising in the financial services sector. With many financial services clients we have in-depth experience of the issues businesses within this sector face. This knowledge enables us to offer practical advice and share areas of best practice to help our financial services clients succeed in meeting their core objectives.

We offer a comprehensive range of highly specialised services tailored to your needs and delivering real value.

“After three years of working together, Ashcourt Rowan are delighted with the internal audit service that has been provided. The team are experts in their field and work closely with us offering valuable support and guidance as we work to develop our business.”

Jonathan Polin, Group Chief ExecutiveAshcourt Rowan Plc

MartinBurchmoreT 020 7566 3709mburchmore@ks.co.uk

TomMooreT 020 7566 3817tmoore@ks.co.uk

JonDawsonT 020 7566 3748jdawson@ks.co.uk

NickAlfordT 020 7566 3730nalford@kscllp.co.uk

MarkChildT 020 7566 3731mchild@kscllp.co.uk

© Kingston Smith LLP, Chartered Accountants. Registered to carry out audit work and regulated for a range of investment business activities by the Institute of Chartered Accountants in England & Wales.

HR consultancy services are provided by HR Insight Limited. HR Insight Limited is authorised and regulated by the Financial Conduct Authority.

Kingston Smith Financial Advisers Ltd, which is an appointed representative of Argentis Financial Management Ltd which is authorised and regulated by the Financial Conduct Authority.

For further information about Kingston Smith LLP and our services please visit our website www.kingstonsmith.co.uk

Firm website: www.kingstonsmith.co.uk Consulting division website: www.kscllp.co.uk

Moreinformationabout KingstonSmith’sservicestothefinancialsectorcanbefoundat:www.kingstonsmith.co.uk/financialservices

Heathrow

Contact us

We are members of APCIMS

CityDevonshire House60 Goswell RoadLondon EC1M 7AD T 020 7566 4000

HeathrowMiddlesex House800 Uxbridge RoadHayes, MiddlesexUB4 0RST 020 8848 5500 RedhillSurrey House36-44 High StreetRedhill, SurreyRH1 1RHT 01737 779000

RomfordOrbital House20 Eastern RoadRomford, EssexRM1 3PJT 01708 759759

StAlbans105 St Peter’s StreetSt Albans, HertsAL1 3EJT 01727 896000

WestEnd141 Wardour StreetLondonW1F 0UTT 020 7304 4646