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CASS 6 Audit Companies in Glasgow: Providers Overview

Glasgow has a number of audit companies that offer CASS 6 services for businesses handling client assets. These agencies carry out assurance work focused on custody rules, covering safeguarding and reconciliation of financial instruments in line with FCA standards.

Several companies in the area support investment firms, wealth managers, and other regulated entities with their CASS 6 requirements. They provide reviews and compliance reporting drawing on knowledge of both local conditions and wider UK regulatory expectations.

Acumon

Acumon is a UK firm of chartered accountants and registered auditors that carries out CASS audits for investment firms holding client assets under FCA regulations. The company verifies compliance with the Client Assets Sourcebook rules, with a particular focus on proper segregation from the firm’s own assets and safeguarding in custody arrangements.

Acumon addresses CASS 6 and CASS 7 requirements through detailed checks on client asset segregation, custody setups, reconciliation processes, record-keeping systems, and internal controls. The firm follows a structured audit approach that includes planning, systems evaluation, and testing of holdings before preparing reports for FCA submission. Based in West London, Acumon holds relevant regulatory authorisations and delivers audit engagements with senior professional involvement.

Acumon also supports broader external audit needs for regulated entities, UK subsidiaries, charities, and organisations approaching statutory thresholds or requiring enhanced oversight. The company works with finance teams to help strengthen governance, financial reporting processes, and internal controls across different organisational structures and sectors.

CASS Audit Capabilities

Acumon provides CASS audit services for various FCA-regulated structures handling client assets.

These include:

  • Investment firms holding client assets
  • Firms providing custody services
  • Regulated entities subject to CASS 6 requirements
  • Organisations requiring client asset safeguarding audits

Audit engagements are typically led by senior audit professionals with direct involvement throughout the engagement.

Regulatory Licences and Registrations

Acumon holds several audit registrations that enable it to support organisations operating across multiple jurisdictions.

These include:

  • UK statutory audit registration
  • Public Interest Entity (PIE) audit licence
  • Jersey audit licence
  • Isle of Man audit licence
  • Cayman Islands audit licence
  • British Virgin Islands audit licence

These registrations allow the firm to provide audit services to groups that include entities in both the UK and key international financial centres.

Core Services

In addition to statutory external audit, Acumon provides a range of services that support financial reporting and governance.

These include:

  • statutory external audit
  • group and subsidiary audits
  • Public Interest Entity (PIE) audits
  • charity and not-for-profit audit
  • audit of international group structures
  • internal audit and governance reviews
  • risk management and compliance support

Audit work is often delivered alongside discussions with management and boards regarding financial reporting processes and governance frameworks.

Many organisations initially encounter statutory audit requirements as they grow and exceed the audit exemption thresholds set out in the Companies Act.

Acumon works with businesses that are:

  • approaching their first statutory audit
  • preparing for external investment
  • expanding into international markets
  • operating within corporate group structures

Early engagement with an audit firm can help ensure that financial reporting systems and documentation are aligned with statutory audit requirements.

Contact Information:

RSM UK

RSM UK delivers support around client money and assets compliance for financial services firms in line with CASS rules. The company works with businesses to review arrangements for protecting client assets should issues arise with the firm itself.

Specialists there assist with assurance reviews that look at segregation and allocation of assets along with preparation of related returns to the FCA. They focus on specific actions to align operational processes with the requirements while addressing any gaps identified during checks. This approach helps firms manage the regulatory expectations without unnecessary complications in daily activities.

Key Highlights:

  • Specialist team handles CASS arrangements for financial services
  • Support includes assurance reviews and compliance checks
  • Work covers preparation of client money and asset returns

Services:

  • Forensic analysis for compliance evidence
  • CASS resolution pack development
  • Risk assurance
  • Operational process reviews

Contact Information:

  • Website: www.rsmuk.com
  • Address: 4th Floor, G1, 5 George Square, Glasgow, G2 1DY
  • Phone: +44 (0)141 285 3900
  • LinkedIn: www.linkedin.com/company/rsm-uk
  • Instagram: www.instagram.com/rsm.uk

Azets

Azets provides services tailored to FCA-regulated businesses including those dealing with client assets. The company supports financial services firms with compliance needs in areas like asset management and related custody matters. Azets combines knowledge of regulatory demands with practical solutions for audit and risk management while working across different sizes of operations.

The company helps maintain proper handling of client assets under the relevant rules. Azets offers guidance on FCA reporting along with risk advisory and governance support for firms in asset management, fintech and insurance. This includes tailored advice on compliance and internal controls that fit specific business models.

Key Highlights:

  • Emphasis on governance and compliance support
  • Guidance on audit, tax and regulatory reporting
  • Support for risk management and internal controls
  • Dedicated financial services team with regulatory focus
  • Experience across asset managers and similar entities

Services:

  • Internal controls review
  • Audit and assurance
  • Risk management advisory
  • Regulatory reporting guidance

Contact Information:

  • Website: www.azets.com
  • Address: Titanium 1, King’s Inch Place, Renfrew, PA4 8WF
  • Phone: 0141 886 6644
  • E-mail: info@azets.co.uk
  • LinkedIn: www.linkedin.com/company/azets
  • Instagram: www.instagram.com/azets_uk

BDO

BDO maintains a specialist focus on client asset regulation through its financial services team. James Steele-Perkins leads efforts in this area with a background in CASS-related audit and advisory work. The company has experience supporting regulated firms with assurance and reviews connected to client asset safeguarding while meeting FCA requirements for custody and asset protection processes.

The firm supports different companies through detailed assurance work and advisory services focused on proper client asset handling and compliance requirements. This helps ensure processes meet the necessary standards for safeguarding assets under CASS rules.

Key Highlights:

  • Support for audit and assurance in client assets
  • Experience with client asset safeguarding reviews
  • Partner with dedicated CASS financial services expertise
  • Background in regulatory supervisory matters
  • Alignment with FCA custody and protection expectations

Services:

  • Client asset audits
  • Assurance services
  • Advisory on regulatory compliance

Contact Information:

  • Website: www.bdo.co.uk
  • Address: 2 Atlantic Square, 31 York Street, Glasgow, G2 8NJ , United Kingdom
  • Phone: 0141 248 3761
  • E-mail: experienced.hire@bdo.co.uk
  • LinkedIn: www.linkedin.com/company/bdo-llp
  • Instagram: www.instagram.com/bdo_uk

PwC

PwC offers broad expertise in financial services that extends to regulatory areas including client asset considerations. The company helps firms navigating complex compliance landscapes in the UK. The firm applies its experience to various aspects of regulatory work that involve client asset matters. PwC delivers consistent processes for compliance checks and supports organisations in meeting FCA expectations through careful analysis and documentation. This kind of work often includes detailed examination of controls and reporting mechanisms that keep everything aligned with current standards.

Key Highlights:

  • Structured approaches to compliance reviews
  • Experience with client asset reporting obligations
  • Extensive financial services audit capabilities
  • Focus on regulatory and risk matters

Services:

  • Assurance and review services
  • Audit services
  • Risk advisory
  • Consulting on financial controls
  • Regulatory reporting assistance

Contact Information:

  • Website: www.pwc.co.uk
  • Address: PricewaterhouseCoopers LLP, 120 Bothwell Street, Glasgow, G2 7JS
  • Phone: +44 (0)14 1355 4000
  • LinkedIn: www.linkedin.com/company/pwc-uk
  • Facebook: www.facebook.com/PwCUK
  • Instagram: www.instagram.com/pwc_uk

Johnston Carmichael

Johnston Carmichael runs a dedicated CASS audit team with knowledge of client asset safeguarding rules. The company works with financial services firms on compliance challenges tied to their business models and operations.

They perform audits that consider governance, controls and technology used in asset custody. Johnston Carmichael also provides insights through management letters with suggestions based on sector experience.

Key Highlights:

  • Integrated IT audit support for systems review
  • Proactive approach to regulatory developments
  • Specialist CASS audit team in place

Services:

  • Controls assessment
  • Management letter recommendations
  • IT systems review for CASS
  • CASS audit engagements
  • Safeguarding audits

Contact Information:

  • Website: johnstoncarmichael.com
  • Address: 227 West George Street, Glasgow, G2 2ND
  • Phone: 0141 222 5800
  • LinkedIn: www.linkedin.com/company/johnston-carmichael-chartered-accountants-and-business-advisers
  • Twitter: x.com/JC_Accountants
  • Facebook: www.facebook.com/JohnstonCarmichael
  • Instagram: www.instagram.com/johnston_carmichael

Deloitte

Deloitte supports financial institutions with client asset protection under CASS rules. The company combines regulatory insight with practical experience from various sectors to help firms focus on proper segregation of assets.

Deloitte develops tailored approaches for specific requirements that include external audit services aligned with relevant standards along with assurance over internal controls. The firm assists during regulatory visits and supports activities connected to business changes or regulatory updates. Deloitte also carries out reviews of operating models and identifies gaps in controls that relate to client assets. This work centres on keeping client assets safe especially in insolvency situations while addressing pressures from stakeholders.

Key Highlights:

  • Experience across capital markets and fintech
  • Support during regulatory developments
  • Focus on segregation of client assets
  • Tailored project scopes for different needs

Services:

  • Accounting and reporting assurance
  • Risk and regulatory support
  • Mergers and acquisitions assistance

Contact Information:

  • Website: www.deloitte.com
  • Address: 110 Queen Street, Glasgow, G1 3BX, United Kingdom
  • Phone: +44 (0)141 204 2800
  • E-mail: Globalprandeminence@deloitte.com
  • LinkedIn: www.linkedin.com/company/deloitte
  • Twitter: x.com/deloitte
  • Facebook: www.facebook.com/deloitte
  • Instagram: www.instagram.com/deloitte

KPMG

KPMG works with regulated firms on compliance with CASS rules for client money and custody assets. The company emphasises keeping assets ring-fenced in case of firm failure through segregated accounts and proper registration.

They provide assistance starting from board level down to operational processes to embed effective management and controls. The firm undertakes thematic reviews end to end along with support for compliance monitoring in co-sourced or outsourced ways. KPMG helps with transformation projects and addresses changes driven by regulatory updates including digital assets. The company also delivers training solutions and hosts forums on current CASS topics.

Key Highlights:

  • Regular industry forums and webinars
  • Emphasis on boardroom to business level processes
  • Expertise in working with the FCA
  • Support for CASS resolution packs and returns

Services:

  • Technology solutions for training
  • Change project management
  • Advisory on regulatory compliance
  • Core assurance reviews

Contact Information:

  • Website: kpmg.com
  • Address: 319 St Vincent Street, Glasgow, G2 5AS
  • Phone: +44 (0)141 226 5511
  • LinkedIn: www.linkedin.com/company/kpmg-uk
  • Twitter: x.com/kpmguk
  • Facebook: www.facebook.com/KPMG

Forvis Mazars

Forvis Mazars engages with financial services firms on CASS and safeguarding requirements for investment and insurance businesses as well as payment and e-money providers. The company maintains subject matter experts who interpret technical rules and assess systems and internal controls.

Forvis Mazars applies a consistent assurance methodology to annual reports while supporting identification of risks and gaps followed by remediation where needed. The firm pays attention to IT systems and how they interact for reconciliations and client records. Forvis Mazars draws on experience across asset managers, banks and custodians to address governance and oversight in changing markets.

Key Highlights:

  • Integrated IT specialist input
  • Experience with various financial products and services
  • Dedicated focus on CASS and safeguarding

Services:

  • Safeguarding compliance support
  • Audit and assurance
  • Risk consulting
  • Controls assessment

Contact Information:

  • Website: www.forvismazars.com
  • Address: 100 Queen Street, Glasgow, G1 3DN, United Kingdom
  • Phone: +44 141 227 2400
  • LinkedIn: www.linkedin.com/company/forvis-mazars-in-the-uk
  • Twitter: x.com/ForvisMazarsUK
  • Facebook: www.facebook.com/ForvisMazarsGroup
  • Instagram: www.instagram.com/ForvisMazarsGroup

Grant Thornton

Grant Thornton offers insights into maintaining CASS compliance particularly for growing functions in small and medium firms. The company hosts discussions with expert panels on regulatory focus and common operational questions.

Grant Thornton brings together partners from audit and advisory to address evolving requirements around client assets. The firm shares updates during webinars that cover practical aspects of staying informed on FCA priorities. This approach helps firms keep up with shifts in regulatory attention without losing sight of daily operations.

Key Highlights:

  • Panel discussions with audit and advisory experts
  • Focus on small and medium sized firms
  • Webinar format for sharing compliance insights
  • Attention to growing CASS functions

Services:

  • Audit services
  • Advisory support
  • Compliance monitoring
  • Regulatory update sessions

Contact Information:

  • Website: www.grantthornton.co.uk
  • Address: Level 8, 120 Bothwell St, Glasgow, G2 7JS
  • Phone: +44 (0)141 223 0000
  • LinkedIn: www.linkedin.com/company/grant-thornton-uk
  • Instagram: www.instagram.com/gt_trainees

EY

EY provides assurance services in client asset areas through specialists like Amarjit Singh who focuses on wealth and asset management. The company works on assignments that range from traditional audits to internal control reviews and regulatory investigations for the FCA. EY engages with complex regulatory changes in financial services and represents views at industry committees including those related to CASS matters.

The firm supports protection of assets held for investors and savers through compliance work while maintaining involvement in blockchain assurance alongside traditional client asset topics. EY brings a practical perspective to regulatory investigations and helps firms navigate evolving requirements in wealth and asset management.

Key Highlights:

  • Focus on investor protection
  • Work on complex regulatory changes in financial services
  • Participation in industry committees related to CASS
  • Specialist leadership in blockchain and asset management assurance
  • Involvement with ICAEW and FRC on CASS
  • Experience in regulatory investigations

Services:

  • Blockchain assurance
  • Traditional audit engagements
  • Regulatory investigation support
  • Assurance services
  • Internal control reviews
  • Regulatory compliance work

Contact Information:

  • Website: www.ey.com
  • Address: G1 Building, 5 George Square, Glasgow G2 1DY
  • Phone: +44 113 298 2200
  • LinkedIn: www.linkedin.com/company/ernstandyoung
  • Twitter: x.com/EYnews
  • Facebook: www.facebook.com/EY

AAB

AAB advises firms on client asset protection under CASS regulations in the UK. The company supports regulated entities such as asset managers and others that handle client money or securities by reviewing how procedures align with FCA requirements for segregation and prompt return of assets in case of firm failure.

AAB carries out detailed examinations of operations along with procedures and documentation to map against CASS rules. The firm offers guidance on necessary adjustments and assists during interactions with regulators when needed. AAB also provides input on suitable technology options to reach required standards in compliance setups. This work centres on helping maintain robust controls that meet the expectations set out in the Client Assets Sourcebook while addressing accountability under related regimes such as SMCR.

Key Highlights:

  • Support during regulator interactions
  • Input on technology selection for compliance
  • Detailed reviews of operations and documentation for CASS alignment
  • Guidance on adjustments to procedures and controls

Services:

  • Operational reviews
  • Regulatory assistance
  • Technology advisory for CASS processes
  • Business advisory

Contact Information:

  • Website: aab.uk
  • Address: 133 Finnieston St, Glasgow, G3 8HB
  • Phone: +44 (0)141 221 2984
  • LinkedIn: www.linkedin.com/company/aab-accountants
  • Twitter: x.com/AABGroup_
  • Facebook: www.facebook.com/AABLLP
  • Instagram: www.instagram.com/_aabgroup

Wrapping It Up

Picking the right CASS 6 audit company in Glasgow really comes down to who fits your specific setup. Each one has solid experience with FCA client asset rules – from segregation and reconciliations to proper custody safeguards – but they all approach the work a bit differently.

In the end, you want an audit that actually strengthens your controls, not just ticks the regulatory boxes. If you’re in Glasgow, it’s worth chatting with a couple of these specialists. The regulatory side keeps evolving, so having someone who knows the local scene can make things smoother. Take your time, ask good questions, and choose what feels right.