FCA Investment Firms Manual (formerly FCA-DIF Manual)

Our FCA Investment Firms Manual provides you with the current and permanent file programmes needed to undertake an FCA client assets (CASS) audit engagement for an investment firm, in accordance with the FRC's Client Assets Assurance Standard.

The manual also includes:

  • a programme to provide a limited assurance report where the firm claims not to hold client money or custody assets.

Our FCA Investment Firms Manual can be browsed online or sections of content or commentary can be downloaded in Microsoft word or PDF. There is also the flexibility to ‘customise’ a download suitable for your engagement. For every new assignment, you will need to navigate to our website to obtain the most up to date version.

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