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Regulating small firms

This guide offers you information on issues specific to smaller businesses, including, new regulatory developments and how these can benefit small firms and updates on the key regulatory issues affecting small firms.

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Regulating small firms (PDF 12 pages, 696KB)

Introduction

For many smaller businesses, meeting regulatory requirements can seem daunting. We are committed to working with the firms we regulate to make sure that everyone is able to comply in a way that is appropriate for their size.

We do not want to hand down ever more prescriptive rules to tell you how to do business. Instead we want to work with you to identify ways of making compliance easier. This guide offers you information on issues specific to smaller businesses, including:

  • New regulatory developments and how these can benefit small firms
  • Updates on the key regulatory issues affecting small firms

Earlier this year, we published our Risk Outlook, which focused on key priority risk areas such as standards of service, money laundering, bogus firms and cybercrime. However, we also understand that smaller businesses need more tailored and targeted information.

To help deliver this we have a dedicated small firms area on our website, a professional ethics helpline and a team of experts to offer help and advice on compliance issues.

This report offers further guidance by looking at topical issues and risk management from a small firm perspective. We hope it provides insight into the issues that matter to you.

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