Regulatory / COMPLIANCE

Ben offers a specialist Due Diligence, Compliance and Regulatory Risk Function. Should an individual or company be concerned that it may have breached its compliance responsibilities, or is the subject of an investigation, Ben can provide discreet and confidential advice throughout the event through to full regulatory investigation.

Ben works, as appropriate, alone or with junior barristers and solicitors, to provide a full compliance service for companies and businesses, involving the design and implementation of procedures and policies, training for staff awareness and of appropriate controls as well as subsequent annual test audits from the standpoint of experienced civil regulatory practitioners.

This covers:

Money Laundering

Modern Slavery

HMRC Excise Industry FITTED

Import and Export

Construction Industry Labour Providers

Health and Safety

Regulator Licence applications

Fulfilment Houses

Healthcare Governance

Bribery

Risk Assessments and Continuous Monitoring support

Ben works in partnership with individuals and companies to identify the key areas where companies may fall foul of requirements relating to due diligence and compliance and then designs unique compliance procedures.

He is also able to offer a ‘Crisis Response function’ should a business find itself the focus of a sudden media or regulatory attention. Many businesses are not prepared for these events and whilst most plan for the communications aspects of such an event to be managed, the support and immediacy of need for strategic advice to the board is often neglected.