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Stepping into the regulatory sphere

Some of these requirements, rules and regulations apply across the board for all firms. Others depend on the types of work you intend to carry out, for example if you want to practise in areas specifically regulated by law such as audit, probate, investment business and insolvency. The ICAEW Professional Standards Department has put together a series of articles offering insights, advice and tips from our Quality Assurance and Regulatory Practice teams to help you navigate the process and avoid common pitfalls.
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Getting started with compliance part 1
  • Article
Are you thinking about starting a new firm or moving into a new area of practice? What do you need to know when entering the regulatory space for the first time and how can ICAEW’s Professional Standards Quality Assurance and Regulatory Practice teams support you?
Getting started with compliance part 2
  • Article
When deciding how to structure your new practice, you have probably focused on the organisational, legal, financial and practical implications. But it is also important to make sure your structure doesn’t lead to avoidable problems, or add costs, in terms of regulatory oversight.
Getting started with compliance part 3
  • Article
You’re setting up a new business, you’ve thought about your structure, and you know how to apply for a Practising Certificate and register with ICAEW. What next for compliance? And how can ICAEW support you?
Audit registration: planning ahead
  • Article
Any firm wanting to carry out regulated audit work in the UK needs to register with a recognised supervisory body, such as ICAEW, and comply with that body’s audit regulations.
Displaying 1-4 of 4 results