General Compliance

General Compliance Solutions

At Regulation & Compliance Office, we work with a variety of regulated businesses across all regulators. By use of our extensive experience, along with our staff of compliance experts, we can ensure your business always has appropriate policies, controls and procedures (PCPs) in place.

Our focus is always foremost on ensuring businesses have an approach that is compliant. Armed with the correct approach, a business can respond quickly to any issues that arise, allowing for complications to be addressed before they become reportable.

In the event of a reportable compliance issue, we will work with the business to ensure it is ready. We can assist with the reports that need to be made and any regulatory enquiry or subsequent investigation. All regulated businesses must comply with their regulator’s requirements by adopting best practice.

At Regulation & Compliance Office, we ensure all our bespoke policies reflect how a business manages compliance. It is always vital that the policies match how a business operates. Ensure that you avoid ‘off the shelf’ and generic documents that do not reflect the business and how it functions.

We work with businesses to not only increase understanding but also document the processes being adopted. We can also assist in training staff, maintaining procedures and monitoring effectiveness through ongoing guidance, advice and maintenance of breach registers.

Regulation & Compliance Office works with a wide variety of businesses. These include:

• Insurers & Brokers
• Trust & Company Service Providers
• Estate Agents & Letting Agencies 
• Banks & Lenders
• Financial & Credit Businesses
• Accountants, Tax Advisers, Auditors & Insolvency Practitioners
• Casinos
• High Value Dealers 
• Art Market Participants 
• Solicitors – Independent Legal Professionals

Regulators operating in the fields of business we work in are:

• The Financial Conduct Authority (FCA), including The Financial Ombudsman Service
• The Solicitors Regulation Authority (SRA), including The Legal Ombudsman
• HMRC
• The Financial Reporting Council (FRC)
• The Gambling Commission

To enquire about our services and how we can service your business, call us on 0203 985 8550 or email us at info@regulationandcomplianceoffice.co.uk