05Regulatory Compliance
A compliance programme that survives inspection
AML and CFT frameworks, data protection compliance, gap assessments and staff training — and, for regulators, the design and reform of the framework itself.
The sequence for this work is being written.
Each kind of work gets the same treatment: what happens, in what order, who holds the pen, and how long each stage takes.
Before we start
What we need from you.
- The entity's constitutional documents and registration
- Who is authorised to instruct us, and evidence of that authority
- Identity and ownership up to the ultimate beneficial owner
- Any prior correspondence with the regulator, including file references
- The commercial deadline you are working to, and what drives it
Also within this work
- Compliance gap assessments
- Compliance programme design and implementation
- Data protection and cybersecurity compliance
- AML and CFT framework development
- Staff regulatory training
- Regulatory gap analysis and benchmarking
- Regulatory framework design
- Secondary legislation drafting
- Regulatory impact assessments
- Regulator institutional capacity support
- Multi-stakeholder consultation design
- Regulatory review and reform programmes
- Implementation planning and support
- International standards alignment
Speak to the partner who would run this.
A partner reads every matter, and a partner will answer.
Speak to the firm