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Regulatory Investigations (SFO / FCA)

Even though Regulatory compliance is a necessity and not a luxury, it is amazing how little regard many Companies have when tackling this area.  In reality many SME’s have very few procedures in place to ensure Regulatory Compliance and even larger organisations often merely employ one or two individuals to undertake the task on their behalf.


It is a Directors duty to ensure that the company is Regulatory Compliant and merely passing the buck to an employee is insufficient to overcome that duty.


If an enquiry is instigated by the SFO; FCA; HMRC or a professional regulator the consequences are often the same.  They involve lengthy correspondence, and careful analysis of the compliance regime to see whether or not the Company has fulfilled its obligations.  A failure to fulfil the obligations can result in huge financial penalty; reputational damage and in worst cases, businesses being closed down.


At 2ndOpinionNow we can help you devise suitable policies and ensure they are successfully implemented.  We can keep you appraised of changes in the law and assist you during any investigation.  


If you require any assistance in ensuring whether your company is regulatory compliant, contact us now.

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