Do you know your AML (section 28) responsibilities? Are you providing services for which you need to be a Rule 3 Adviser or a Designated Professional Body under the Financial Services and Markets Act 2000? Our team can provide you and your firm with the guidance, training and support necessary to aid you to become fully compliant with regulatory requirements. Some of the main UK Regulatory Bodies:

Finance, Corporate Finance & Accountancy

Financial Conduct Authority

The Financial Conduct Authority (FCA) is a financial regulatory body in the United Kingdom regulating financial firms providing services to consumers. It maintains the integrity of the financial markets in the United Kingdom and focuses on the regulation of conduct by both retail and wholesale financial services firms. It was preceded by the FSA. To conduct 'mainstream' investment business (eg recommending purchase of specific investments like pensions & listed company shares) or to approve financial promotion a firm needs to be authorised by the Financial Conduct Authority. Many of the corporate finance firms in our database are authorised and regulated by the FCA.

Financial Reporting Council

The Financial Reporting Council (FRC) is an independent regulator regulating auditors, accountants and actuaries. It also sets the UK's Corporate Governance and Stewardship Codes. The FRC's primary responsibility is to pursue the public interest in high standards of auditing, reporting and governance and it seeks to promote transparency and integrity in business for those who rely on company reports, audits and high-quality risk management.

Competition and Markets Authority

The Competition and Markets Authority (CMA) is a government department responsible for promoting competition for the benefit of consumers and reducing anti-competitive activities. Certain business disposal / acquisition transactions need the prior approval of the CMA. Its predecessors were the Office of Fair Trading and the Competition Commission.

Institute of Chartered Accountants in England and Wales

The Institute of Chartered Accountants in England and Wales (ICAEW) is a professional membership organisation for chartered accountants. In the UK, an individual must belong to the ICAEW, ICAS or CAI to call themselves a chartered accountant. An independent board, The ICAEW Regulatory Board (IRB) is responsible for overseeing ICAEW’s Professional Standards’ Department and the statutory regulatory role of ICAEW. Companies conducting 'non-mainstream' investment businesses (eg. advising on private company shares, interpreting advice given to a client by an authorised person or taking part in discussions with a client and an authorised person), need to be licensed by ICAEW. Several of the firms in our directory have this license.

Institute of Chartered Accountants of Scotland

The Institute of Chartered Accountants of Scotland (ICAS) is a professional body and regulator of chartered accountants in Scotland. The ICAS upholds the integrity and standing of the profession through, among other things, enforcement of professional standards.

Chartered Accountants Ireland

Chartered Accountants Ireland (CAI) is a membership body for Chartered Accountants in Ireland with offices in the countries of Ireland and Northern Ireland.

The Insolvency Service

The Insolvency Service is a government agency that helps to deliver economic confidence by supporting those in financial distress, tackling financial wrongdoing and maximising returns to creditors.

The Insolvency Practitioners Association

The Insolvency Practitioners Association is professional body that authorises and regulates insolvency practitioners

The Chartered Institute for Securities & Investment (CISI) is the professional body for securities, investment, wealth and financial planning professionals.


Solicitors Regulation Authority

The Solicitors Regulation Authority (SRA) is the regulatory body for solicitors in England and Wales. It is responsible for regulating the professional conduct of solicitors and other authorised individuals at private and public sector organisations. SRA authorised firms can undertake certain regulated financial services activities.

The Law Society

The Law Society (of England and Wales) is the professional association that represents and governs solicitors in England and Wales. It provides services and support to practising and training solicitors, as well as serving as a sounding board for law reform.

Law Society of Northern Ireland

The Law Society of Northern Ireland is formally known as The Incorporated Law Society of Northern Ireland. It is an independent and self funded body that acts as a professional body whose powers and duties are to regulate the solicitor profession in Northern Ireland.

Law Society of Scotland

The Law Society of Scotland is a Scottish based professional body serving solicitors and the public in Scotland, protecting and promoting the rule of law, and ensuring the public can have confidence in Scotland’s legal profession.

Other Organisations

The Society of Share and Business Valuers

The The Society of Share and Business Valuers is a directory of professionals specialising in the valuation of shares and derivatives, businesses, intellectual property and other intangibles. Their members can advise on valuations for commercial, tax and dispute resolution purposes and can act as expert witnesses.

The British Franchise Association

The British Franchise Association is a voluntary, self regulating body for the franchise industry in the UK.

The Financial Services Lawyers Association

The Financial Services Lawyers Association (FSLA) is a forum for the exchange of views and the dissemination of knowledge and ideas relating to financial services law and regulation in the UK.

The National Association of Estate Agents

The National Association of Estate Agents (NAEA) is a professional body for estate agency personnel. They operate one of the independent redressal schemes for the industry. It was formerly the Institute of Commercial Business Agents.


The International Business Brokers Association

The International Business Brokers Association is a US trade body for business brokers based in the USA and Canada. In addition to representing business brokers and lobbying on their behalf, the IBBA also creates and manages several educational courses for members and stages events and conferences.

The Australian Institute of Business Brokers

The Australian Institute of Business Brokers provides a similar service to that of the IBBA above, but covering a different geographical area - Australia and New Zealand.

Corporate Finance in the EU

Corporate Finance in the EU is an association of M&A advisers in the EU specialising in lower mid-market transactions.

International Valuation Standards Council

The International Valuation Standards Council (IVSC) is an international organisation, based in London, that sets standards for professional valuers and ensures consistency, transparency and confidence in valuations.

European Securities and Markets Authority

The European Securities and Markets Authority is the financial regulator in the EU. It covers securities' legislation and regulation to improve the functioning of financial markets in Europe,

There are various other UK organisations and bodies covering providers of services around transactions. If there is a particular organisation you would like to see mentioned here, please get in touch

There is currently no UK regulatory body covering the work of, specifically, business transfer agents and business brokers except for bodies like the FCA above that regulate a wider sphere of activity part of which may overlap with services these agents provide.