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Safeguarding Audits

We help regulated firms meet client funds safeguarding requirements and ensuring peace of mind for firms and their clients.

How can we help?

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Why leading firms choose us as their partner.

"We engaged Buckingham Capital Consulting to conduct an audit of our client funds safeguarding practices, and their expertise and thoroughness have been invaluable in ensuring the security and protection of our clients' funds.

Buckingham Capital Consulting demonstrated a deep understanding of the regulatory requirements and best practices related to client fund safeguarding. Their team conducted a comprehensive assessment of our processes, systems, and controls to identify any gaps or areas for improvement.

Through their audit process, Buckingham Capital Consulting provided us with a detailed report outlining their findings and recommendations. They helped us enhance our client fund safeguarding procedures, ensuring that we meet the  regulatory requirements."

Our services - Client funds safeguarding

Advice on safeguarding requirements

We can help you understand what, when and how you should safeguard relevant client funds.

Introduction to safeguarding account providers

We work with most leading credit institutions (banks) in the United Kingdom and Europe and are able to make introduction on your behalf to help you meet your client funds safeguarding obligations.

Safeguarding account application preparation and management

As part of your safeguarding account application you will be required to provide a number of documents. Buckingham Capital Consulting can help prepare the pack of documents on your behalf.

Sectors we serve

We partner with startups and unicorns, providing tailored assistance for license authorisation, compliance, and support across the UK & Europe.

E-money

We assist businesses, from startups to established firms, with UK & EU EMI licensing, compliance, training, policy, and more.

We help retail, private and investment banks with authorisation applications, PRA & FCA compliance, financial crime and training.

We assist firms with FCA authorisation applications, compliance and training, providing support with regulatory obligations.

We provide comprehensive assistance to general insurers and Lloyd's of London brokers across compliance, training and authorisation.

We offer a range of services including compliance, training, and authorisation support, tailored for mortgage providers and brokers.

We help clients with regulatory licence authorisation applications as well as risk and compliance, across a number of countries.

We work with UK and European regulators and can help you become authorised to offer investment services as a regulated business.

We assist open banking firms, including AISPs and PISPs, with compliance, training, regulatory authorisation, and regulatory support.

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