Compliance The Overview

The key to dealing with compliance is to think laterally and start from a “can do” standpoint. Very seldom is there a situation from which nothing can be salvaged. To gain commercial advantage whilst at the same time protecting your organisation from censure is the principal objective.

Temple Regulatory Services understands the competing demands of business and the need to comply with ever more stringent and complex regulation. That’s why our clients see us as partners. They know that Temple Regulatory Services can significantly reduce their overheads and their exposure to risk.

Our portfolio of carefully tailored services are all designed to ensure that our client's regulatory obligations do not get in the way of doing business.

Our edge is that we only use the most talented barristers and industry experts to deliver probably the most comprehensive and commercially relevant suite of compliance services available anywhere. Our aim is to take away the headache associated with compliance to allow your people the freedom to do business.

We can provide:

• Full Compliance Audits & Vulnerability Assessments performed by leading members of the bar to provide assurance and protection against regulatory intervention.
• Design of Compliance Processes by barristers fully acquainted with the consequences of non-compliance.
  Risk Based Strategies to Reduce Exposure and Cost. Our team will look critically at your current processes and advise you if they are both adequate and commercially efficient.
• Ongoing Monitoring to ensure your organisation remains compliant with regulatory requirements.
• Regulatory Compliance Training delivered by leading barristers for staff at all levels within your organisation.
• Compliance Seminars and One-to-One Surgeries delivered by barristers and other leading compliance experts.
• Approved Persons competence assesments ensuring your staff are performing in line with regulatory standards.
• AML & Regulatory Assessments. Our team will devise and administer competence assessments for your people so you can be certain they fully understand their roles and obligations.
• Update Bulletins written by specialist barristers highlighting not only any changes in regulation but also the practical and commercial implications for firms.
• 'Dawn Raid’ Manual written by leading criminal barristers and a former senior Customs criminal Investigator. This ensures your people know exactly what to do in the event of a surprise visit from a regulatory body.