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Regulatory Audit

“Ensuring full compliance with evolving regulations – so your business operates with confidence and integrity”.

Our Regulatory Audit Services

  • SRA

    SRA audits ensure law firms comply with Solicitors Regulation Authority rules, particularly around client money handling, record-keeping, and AML procedures. We verify adherence to SRA Accounts Rules, assess internal controls, and identify compliance gaps. These audits mitigate risks of financial penalties and uphold trust in legal practices.

  • FCA

    FCA audits assess financial services firms’ compliance with client asset protection (CASS), governance, and reporting standards. We review internal controls, risk management, and regulatory filings to ensure adherence to FCA requirements, reducing the risk of fines or license revocation.

  • Client Money

    Client money audits ensure businesses (e.g., estate agents, solicitors) correctly handle third-party funds. We verify segregation from company accounts, proper record-keeping, and regulatory compliance, reducing legal and reputational risks.

Disclaimer

AMS Audit Limited, a company registered in England and Wales. Company No: 07766813. A list of directors is held at the registered office.

The company is registered to carry out audit work in the UK by the Institute of Chartered Accountants in England & Wales. Details about our audit registration can be viewed at www.auditregister.org.uk under reference number C003455154. In accordance with the disclosure requirements of the Services Regulations 2009, our professional indemnity insurer is AXA Insurance UK Plc.

 

Registered company number 00078950, FCA registration number 202312, Registered Office 5 Old Broad Street, London, EC2N1AD.

The territorial coverage is worldwide excluding professional business carried out from an office in the United States of America or Canada and excludes any action for a claim brought in any court in the United States of America or Canada. Professional Policy number: AB CPI 4431670.

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