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Risk and Compliance Service

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    Risk and compliance regulation has sailed ahead in the last 12 months. Have you mapped your route or are you heading for uncharted waters?

    The cost of under-investment in risk and compliance is leading to an increasing number of cases of intervention by approved regulators.

  • Keeping abreast of the rules and regulations and safeguarding your business and its reputation can take less investment than you think.

    Our Risk and Compliance Service helps COLPs, COFAs and those with risk management responsibilities in a variety of ways.

    How can we help?

    • Do you need clarity on the materiality of an incidence of noncompliance?
      We offer our dedicated 'safe harbour' advice service to assist you with this and similar issues. Submit your enquiry to our panel of regulatory compliance experts and practitioners and we will stand behind the advice that is provided to you. Free to Risk and Compliance Service members.
    • Are you receiving trustworthy information?
      Get the latest information on regulatory and compliance issues through our monthly email newsletter. Contributors include key experts and practitioners in risk and compliance.
    • Do you need to fulfil your annual CPD requirement?
      Develop your skills through our CPD-accredited on-demand webinars. We provide up to four webinars every year.
    • Do you need advice and insight into best practice?
      We can provide you with guidance on a range of topics including complaints handling and the process of redress, and ensuring compliance under OFR.
    • Do you want to learn how to mitigate risk?
      We offer a range of related CPD-accredited conferences, seminars, and training programmes that can help you. Enjoy discounted rates as a Risk and Compliance Service member.
    • Do you need clear and comprehensive guides to assist you with compliance?
      Receive a 20 per cent discount off selected relevant Law Society publications.
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