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Regulatory

Regulatory

Service overview

We advise on applications, investigations and other matters with bodies including the Financial Conduct Authority, Her Majesty’s Revenue & Customs, the Information Commissioner’s Office, the Charity Commission, banks, government departments and stock exchanges, particularly the London Stock Exchange.

We work with you to establish, maintain and apply robust corporate governance procedures to satisfy all reporting, compliance and other obligations applicable to your business. Our advice helps you to avoid running into problems with your regulator and to position yourself in the best possible light with them, as well as with your customers, shareholders and investors alike.

We assist you to achieve best practice whether in respect of regulatory process, anti-money laundering, anti-bribery or data protection, and in responding to any issues that may arise quickly, effectively and with minimum disruption.

Key contacts
Deborah Mills
Senior Partner
Andrew Pike
Managing Partner
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Regulatory

Service highlights

We help you to understand how the GDPR and other data protection laws affect your business and what you need to do to comply with them. We advise on appropriate measures, processes, training and documentation, and dealing with subject access requests. Our advice helps you to avoid personal data breaches, however if one occurs, we provide prompt advice on managing and responding to the breach to minimise any consequential risks and disruption.
We advise on the application to your business of anti-money laundering and terrorist financing laws, including the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017, and your obligations under them. We help you understand the relevant requirements and design your business processes accordingly, in particular with respect to risk assessments, internal policies and controls, customer due diligence (enhanced and simplified), record keeping, disclosures and tipping off.
We provide reliable advice on compliance with any regulations to which your business is subject and on non-routine communications, applications and other dealings with your regulator. We also assist in the event you have any dispute or issues with your regulator. We have previously worked with clients on investigations into their business conduct by regulatory bodies including the Financial Conduct Authority, the ICO, HMRC and professional regulatory bodies, including the Law Society.
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