Regulatory, Compliance & Privacy

Your business can be defined by the regulatory and legal framework it operates in. Our expertise can help you meet your obligations, efficiently and effectively. 

We advise on regulatory and compliance matters affecting businesses and employees, particularly in financial services.

We work with all types of clients, too. From established financial services providers to start-ups seeking FCA authorisation to employees being investigated for a breach of compliance. We also help businesses in all sectors deal with HR and employee-related data protection and privacy issues. 

We’ll help your business prepare for the General Data Protection Regulation (GDPR), which will bring significant changes to data protection laws in May 2018. In particular, this involves reviewing and amending employment contracts, and preparing fair and lawful processing notices to job candidates and employees. It also involves understanding a more restrictive concept of consent as a fair means of processing personal data.

How can we help

Our wide-ranging regulatory and compliance services include:

• Approved Persons and Senior Managers Regime, including applications and employment references 
• investigations and disciplinary procedures into regulated persons 
• businesses making applications for authorisation to the FCA or PRA
• anti-bribery and compliance training 
• compliance audits

The data protection services also include:

• managing large data subject access requests 
• challenges brought by employees and other data subjects to the Information Commissioner’s Office (ICO)
• monitoring and investigations 
• employee screening 
• drafting policies covering data protection, information management and IT security, and workplace monitoring
• advising on privacy impact assessments (PIAs) for HR data processing
• overseas data transfers

To find out how we can help, contact any of our offices below, use the contact form here or email us at info@doyleclayton.co.uk