Guy Swarbreck

Partner, Assurance and business services

Areas of expertise

Financial services audit and assurance; regulatory advisory services.

Experience

Guy is head of Smith & Williamson’s Financial Services & Markets group and advises a diverse range of asset managers, lending institutions, brokers and fin-tech firms.

He uses his thorough understanding of the financial services market to provide audit, assurance and regulatory advisory services. He specialises in advising more complex financial institutions on financial, client money and commercial matters.

Guy is a named individual within Smith & Williamson’s FCA Skilled Persons panel members and presents on financial reporting and regulatory topics.

Notable achievements

  • Leading assurance engagements to assess the governance and control frameworks in brokerage, investment management and corporate finance firms.
  • Advising on compliance and control structures for an emergent fin-tech firm and firms planning significant changes to business models.
  • Advising on the regulatory capital implications of corporate transactions and variations of permissions.

Professional qualifications/memberships

Fellow of the Institute of Chartered Accountants in England and Wales (ICAEW) and a Member of the Chartered Institute for Securities & Investment (CISI).

Contact Guy

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