Regulatory

Our regulatory barristers frequently advise individuals and corporate bodies on various regulatory issues.

We also advise and represent clients before courts and tribunals when required (see also Professional Discipline). Compliance advice is given over a wide area including:

• Financial services legislation and the FCA Handbook COBS
• The Bribery Act (policies and procedures to prevent bribery)
• Suspicious activity reports in the regulated sector
• Reports to money laundering officers
• Corporate governance and reporting (POCA)
• Health & Safety Law
• Environmental Law
• Money Laundering, the Proceeds of Crime Act 2002 and the Money Laundering Regulations
• Solicitors’ Regulation, in particular Conduct and the Solicitors Accounts Rules, including:
  • Responsibilities of the COLP (Compliance Officer for Legal Practice
  • Duties of the COFA (Compliance Officer for Finance and Administration)
• Professional conduct:
  • Solicitors’ Regulatory Authority (SRA)
  • General Medical Council (GMC)
  • General Dental Council (GDC)
  • General Optical Council (GOC)
  • Accountants (e.g. ICEAW) and Actuaries (AADB)
  • Insolvency Practitioners (IPA)
• Trade sanctions
• Corporate governance where issues of exposure to criminal or regulatory proceedings may arise.

This is not an exhaustive list. Please contact our clerks for further information and assistance.

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