Peter Smith

Peter Smith


Financial Services

Executive summary

Peter has audited and advised businesses in the financial services sector for over 10 years, working with a range of businesses in the capital markets and asset management sectors.

He is responsible for the audits of FCA regulated firms including broker/dealers, clearing firms, spread betting firms and commodity traders. Peter is well versed in the regulatory requirements affecting FCA regulated firms and conducts client money and assets audits on behalf of the firm. Peter is currently responsible for the audits of large international groups with a significant technology component to the audit and works closely with our IT audit team. Peter has strong technical and commercial experience of the sector and the issues it faces.

Peter also specialises in the audit of listed investment funds and is currently responsible for the audits of listed funds across a range of investment managers and administrators. All of these clients invest in unquoted and quoted investments covering a wide range of industries, sectors and business life cycles. He is a member of the AIC’s VCT Technical Committee.