Legal & Regulatory Compliance

With the extensive experience of Moore Kingston Smith Consulting team members, it’s no surprise that we are experts in developing, monitoring and evaluating compliance and risk management systems.

We focus on:

  • achieving compliance
  • monitoring continuing compliance
  • troubleshooting or updating due to regulatory changes
  • evaluating compliance adequacy

This is particularly true when it comes to specific regulatory regimes. In addition to the areas discussed under ‘Core Services’, we are skilled in:

  • FCA regulation – client money audits; FCA approvals; FCA investigations
  • Healthcare – Safeguarding; CQC reports
  • Anti-Money Laundering rules
  • Data Protection and privacy, including the EU Data Protection Directive and global equivalents
  • Bribery Act / Foreign Corrupt Practices Act
  • Sarbanes-Oxley Act
  • Health Insurance Portability and Accountability Act (HIPAA)