Cass 7 Audit Companies Liverpool: A Guide to Local Providers
AC
Acumon Chartered Accountants·7 min read
Businesses operating under the FCA's Client Assets Sourcebook (CASS) framework often require specialist assurance to meet regulatory expectations and maintain confidence in their control environments. In Liverpool, organisations can access a range of providers offering CASS-related audit and assurance services, from established accountancy practices to specialist advisory firms.
This guide highlights a selection of Cass 7 audit companies operating in Liverpool. Rather than ranking providers, the aim is to offer practical context on the types of organisations these firms support, their areas of expertise, and how they contribute to regulatory compliance and governance. As client money rules continue to evolve, choosing a provider with relevant experience and a clear understanding of the regulatory landscape remains an important consideration for firms operating in regulated sectors.
Acumon
Acumon is a UK firm of chartered accountants and registered auditors providing CASS 7 audit services to firms and organisations across Liverpool and the wider UK market.
The firm works with regulated businesses ranging from investment firms and wealth managers through to larger financial services groups operating within FCA-regulated environments. CASS 7 audit engagements are designed to provide assurance over client asset arrangements, support regulatory compliance and strengthen governance frameworks.
Acumon provides CASS 7 audit support across a range of regulatory and reporting requirements, including client asset reviews, control testing, compliance assessments and reporting under the FCA Client Assets Sourcebook (CASS). Services are delivered using a structured risk-based methodology tailored to each organisation’s operational model, regulatory profile and compliance obligations.
Acumon holds a Public Interest Entity (PIE) audit licence, enabling the firm to support organisations subject to enhanced regulatory oversight in the United Kingdom. In addition to its UK statutory audit registration, the firm also maintains audit licences in the Cayman Islands, British Virgin Islands (BVI), Jersey and Isle of Man, supporting organisations operating across international structures and reporting environments.
Client asset arrangements often involve multiple stakeholders, governance processes and regulatory obligations across different jurisdictions. Acumon works with compliance teams, boards and management to support FCA requirements while helping organisations strengthen oversight, reporting procedures and internal control frameworks.
CASS 7 Audit Capabilities
Acumon provides CASS 7 audit services across a wide range of regulated entities and operational environments.
These include:
investment firms and wealth managers
FCA-regulated firms safeguarding client assets
organisations subject to CASS 7 requirements
multi-entity and group structures
businesses with cross-border operations
regulated entities with complex control frameworks
Engagements are typically led by senior professionals with direct involvement throughout the engagement.
Regulatory Licences and Registrations
Acumon maintains 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 support organisations operating across both the UK and key international financial centres.
Core Services
In addition to CASS 7 audit services, Acumon provides a range of services that support governance, reporting and regulatory compliance.
These include:
statutory external audit
CASS 7 audits and client asset reviews
regulatory compliance assessments
group and subsidiary audits
Public Interest Entity (PIE) audits
charity and not-for-profit audit
internal audit and governance reviews
risk management and compliance support
CASS 7 audit work is often delivered alongside discussions with management and compliance teams regarding client asset arrangements, governance frameworks and regulatory obligations.
Many regulated firms encounter increasingly complex compliance requirements as they grow, expand regulated activities or operate across multiple jurisdictions.
Acumon works with businesses that are:
managing client asset obligations
preparing for FCA oversight
operating within corporate group structures
strengthening governance and control frameworks
expanding regulated activities
Early engagement can help ensure that control environments, documentation and compliance procedures are aligned with CASS 7 requirements.
Address: 1-2 Craven Road, Ealing, London, W5 2UA, UK
Phone: 020 8567 3451
Sedulo
Sedulo provides audit and assurance services across several regulated areas, including Client Assets (CASS), grant audits, pensions audits, and compliance reviews. For firms subject to FCA client asset rules, CASS reviews form part of a wider framework of governance and financial oversight, helping organisations demonstrate that client money and assets are being managed in line with regulatory requirements.
Beyond CASS engagements, the firm works across areas where safeguarding funds and maintaining effective controls are central. Its experience with sectors such as credit unions, charities, and legal practices means its work often involves reviewing systems, assessing compliance processes, and identifying areas where controls can be strengthened to support ongoing regulatory obligations.
Key Highlights
Provides Client Assets (CASS) audit and assurance services
Supports organisations operating under FCA regulations
Experience with compliance reviews and control assessments
Offers audit services across regulated sectors
Registered with ICAEW for audit purposes
Operates from multiple UK offices, including Liverpool
BDO has a dedicated financial services team focused on client asset regulation and assurance. CASS requirements can be complex for regulated firms, particularly where client money arrangements, safeguarding measures, and FCA expectations are involved. Within this area, the firm's specialists work on audit, assurance, and advisory engagements connected to client assets.
Its CASS expertise includes experience with regulatory reviews and work involving firms operating under financial services regulations. Exposure to forensic reviews and direct involvement with regulatory bodies has contributed to an understanding of how client asset frameworks are assessed in practice and how firms can address compliance expectations.
Millet Audit Ltd specialises in audit and assurance work, with CASS audits forming part of its services for regulated firms. Businesses that hold client money face ongoing FCA obligations, and CASS reviews play an important role in assessing whether controls, records, and processes operate as expected. The firm's Liverpool-focused CASS offering is designed for organisations seeking independent assurance over client asset arrangements.
A notable aspect of its approach is the use of remote audit delivery, allowing firms to complete engagements through secure digital processes and online collaboration. Alongside regulatory compliance, engagements may include reviews of reconciliations, client money segregation, reporting procedures, and governance arrangements to help organisations maintain oversight of their client asset framework.
Key Highlights
Provides CASS audits for firms operating in Liverpool
RSM advises financial services firms on client money and asset regulations, including compliance with the FCA's Client Assets Sourcebook. CASS requirements are intended to protect client funds and assets, making effective controls and reporting processes an important consideration for regulated businesses. The firm supports organisations seeking assurance over how these arrangements operate in practice.
Its work in this area covers both ongoing compliance and broader risk management. Engagements can include reviews of operational controls, internal reporting, resolution packs, and client money processes. CASS support sits within a wider financial services risk and regulation offering, reflecting the close connection between regulatory compliance, governance, and operational resilience.
Key Highlights
Supports firms subject to FCA CASS rules
Part of a broader financial services risk practice
Choosing a CASS 7 audit provider is not simply about meeting an FCA requirement. For firms handling client money, the audit process can offer valuable insight into controls, reporting practices, and governance arrangements that support ongoing compliance.
The companies featured in this guide reflect the range of CASS-related services available in Liverpool, from specialist audit providers to firms offering broader risk and regulatory support. Each brings different experience, sector knowledge, and approaches to client asset assurance.
When assessing potential providers, organisations often consider factors such as familiarity with FCA rules, experience with regulated businesses, and the ability to understand operational processes in practice. This guide is intended to provide practical context on Cass 7 audit companies in Liverpool and should not be viewed as a ranking or endorsement of any individual provider.
AC
Written by the Acumon team
Acumon is an ICAEW-registered firm of chartered accountants and registered auditors
based in London, with offices in Pitstone, Aylesbury and Bournemouth. Need advice on
anything covered here? Talk to us.
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