Compliance reviews
We understand the organisation’s activity and review the documents supplied against the legal questions identified. We report gaps requiring further checks and discuss a manageable plan for addressing the issues within scope.
Our expertise
Regulatory & compliance
Practical guidance in a changing environment.
Discuss this practiceRegulatory & compliance
What this practice covers
We help organisations identify applicable requirements and build a manageable approach to compliance. Each engagement starts with understanding the business and its activities.
We begin by understanding your objectives, reviewing the relevant documents and identifying the issues that require attention. We then agree a clear scope and explain the available next steps. Our advice is tailored to the facts of your matter.
How can we assist you?
The services below explain the work we can discuss with you. We confirm the documents, responsibilities and scope before an engagement begins.
Licensing and registration support
We help identify the information and supporting records for a proposed licensing or registration process. The relevant requirements must be verified for the specific activity; we agree what assistance is needed before preparing documents.
Policy and procedure review
We review internal policies and procedures for consistency with the organisation’s activities and identified obligations. We can assist with revised documents and explain the responsibilities for implementing and maintaining them.
Regulatory correspondence
We review a notice, inquiry or proposed response, identify the questions and deadlines, and help organise the supporting information. Any communication with an authority is agreed with you before it is sent.
How we work with you
- 01
Describe the business activity, the requirement or inquiry and any deadline. After initial checks, we may ask for existing registrations, policies and correspondence relating to the matter.
- 02
We review your initial request, complete conflict checks and confirm whether the matter is suitable for our team. Before substantive work begins, we agree the scope, fees, responsibilities and a method for sharing documents.
- 03
We understand the activity and the question raised, then identify the documents and requirements that need review. We explain the next steps and agree a work plan, including any application, policy update or response within scope.
- 04
We provide the advice or documents agreed in the engagement, explain the key points and discuss any remaining questions. Where the matter continues, we agree the next actions and how you will receive updates.
The scope of any advice depends on your specific circumstances and the terms agreed with the firm.
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