Achieving initial compliance

With expertise in a wide range of different regulatory regimes we can assist an organisation in achieving basic compliance. Many regimes require authorisation, or at least registration, before certain types of activity can be undertaken. We work with clients to catalogue clearly which regulations apply and what steps need to be taken to achieve compliance. Where approvals or authorisation are needed we can assist with applications and developing the policies and procedures that are needed to support these applications.

Sometimes getting compliant can require a major programme, examples of recent years including Sarbanes-Oxley and the Capital Requirements Directive for financial institutions. On this level of scale technical skills have to be supplemented by business change expertise and the Kingston Smith Consulting team includes individuals who have steered businesses through major change to the end point of achieving compliance.