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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, ensuring you meet all regulatory requirements. Our guidance will clarify the procedures and timing necessary to maintain compliance and protect your clients' assets effectively.

Introduction to safeguarding account providers

We work with leading credit institutions (banks) in the UK and Europe and can introduce you to help meet your client funds safeguarding obligations. Our relationships ensure access to trusted partners for securing client funds effectively.

Safeguarding audits

We can help you meet your client funds safeguarding obligations by carrying out safeguarding audits and reviewing your policies, procedures, reconciliation processes, and providing comprehensive audit reports of our findings.

Seeking something more bespoke or not listed above? Contact us to discuss your unique requirements. With our expertise and experience in financial services, chances are we can assist you effectively.

Sectors we serve

Payment Services
We partner with startups and unicorns, providing tailored assistance for license authorisation, compliance, and support across the UK & Europe.
Consumer Credit
We assist firms with FCA authorisation applications, compliance and training, providing support with regulatory obligations.
We help retail, private and investment banks with authorisation applications, PRA & FCA compliance, financial crime and training.
We assist businesses, from startups to established firms, with UK & EU EMI licensing, compliance, training, policy, and more.
We provide comprehensive assistance to general insurers and Lloyd's of London brokers across compliance, training and authorisation.
Mortgage Providers & Brokers
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.
Investment Services
We work with UK and European regulators and can help you become authorised to offer investment services as a regulated business.
Open Banking
We assist open banking firms, including AISPs and PISPs, with compliance, training, regulatory authorisation, and regulatory support.
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