Compliance and enforcement covers helping organisations understand and meet their regulatory obligations, assess risk, and respond to investigations. A solicitor in this area advises on policy development, internal controls, and governance to prevent breaches, reviews and negotiates with regulators, and guides clients through enforcement actions, licensing issues, and remediation plans. Work often involves drafting policies, conducting internal investigations, preparing disclosures, and representing clients in regulator-led investigations, hearings, and disputes in courts or tribunals.
What a solicitor handles in these matters
The solicitor handles complex regulatory frameworks, including drafting compliance programmes, performing risk assessments, and coordinating with regulators such as the Financial Conduct Authority, Information Commissioner's Office, Health and Safety Executive, and competition authorities. They manage multi-stakeholder interactions, prepare statutory disclosures, respond to enforcement notices, and navigate remedies, settlements, or penalties, all while aligning with corporate governance and reporting requirements.
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