Group Compliance and Regulatory Consultation

Map group compliance questions and responsibility for obtaining specialist advice.

Preparing a useful brief

Outline the decision you need to make, the entities involved and the information already available. Start with a short description rather than sending confidential documents.

Defining the consultation

Use the initial conversation to establish the management questions to address, who should take part and where specialist advice may be needed. The precise scope and any agreed output are confirmed before work begins.

Before an engagement

Confirm scope, duration, timing, tax treatment and any specialist input directly. The website does not provide individual legal, tax, audit, insurance or regulated investment advice.