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Compliance

"Top quality advice and support received at good-value hourly rates" — Legal 500 2024

 

Are you fearful of compliance? What keeps you awake at night? What can we help with to alleviate the burden?

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Our team provides bespoke, practical advice that is cost effective and accessible to businesses of all sizes – whether it’s AML compliance or a GDPR policy review.

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We help you and everyone in your business understand the importance of risk management and complying with professional or industry regulations.

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We help you:

  • Understand what regulations affect you

  • Assess which of your services and employees are regulated and which are exempt

  • Assist you in getting authorisation to begin regulated activities

  • Draft or enhance internal policies and procedures

  • Stay up-to-date with regulatory changes

  • Deliver training to your board and workforce

  • Make notifications to regulators

  • Conduct Anti-Bribery, Modern Slavery and AML risk assessments

  • Audit your business for existing compliance issues or control weaknesses

  • Conduct pre and post-transaction due diligence

  • Comply with information requests

  • Prepare for and handle interviews with your regulator

  • Manage regulatory investigations and fitness to practice hearings.

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You can instruct us on a discrete issue or we can assist with all your regulatory obligations. We form multi-disciplinary teams, bespoke for you, for example with compliance professionals or forensic investigators as necessary.

Our Experience

  • Advising a listed company on its Modern Slavery Act obligations including the drafting of a due diligence questionnaire and potential criminal liabilities.

  • Advising a chain of pubs under investigation in relation compliance with Health and Safety at Work Act and Food Safety Regulations.

  • Advising a restaurant prosecuted for Food Safety breaches.

  • Undertook in house Data Protection Officer role and advising reactively on a range of matters and leading on audit work.

  • Drafting anti-bribery and dawn raid policies and procedures.

  • Drafting and updating modern slavery and human trafficking statements for businesses operating in multiple jurisdictions, specifically taking into account legislation in the EU and Australia. Also helping businesses identify modern slavery and human trafficking risks within their supply chain. 

  • Reviewing financial crime business risk assessments and recommending improvements to controls in place for online gambling entities operating in multiple jurisdictions.

  • Acting for a payroll business providing services in the US and UK.  Conducting a business risk assessment, gap analysis and drafting bespoke policies, procedure and controls documents in relation to the corporate offence of failing to prevent facilitation of UK and non UK tax evasion. 

  • Advising start-up businesses in relation to financial crime frameworks and conducting risk assessments, gap analysis, training and drafting policy documents.

  • Identifying how to deal with financial crime compliance issues identified during due diligence exercises and following mergers and acquisitions. 

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