Regulatory, Compliance & Privacy

Meeting your obligations, from regulation to data protection

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 

Book a virtual meeting with Thomas Clark

Submit an enquiry form

Contact our Corporate Team

Liz Barton

Liz is a highly experienced lawyer advising companies and individuals on all aspects of corporate law, from advising on company constitutions and corporate governance matters, to group reorganisations and share and business disposals and acquisitions.

  • Partner & Head of Corporate
  • T: +44 (0)20 7778 7238
  • Email me

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Thomas Clark

Thomas is an experienced corporate lawyer who advises clients on matters including business sales and purchases, shareholder agreements and articles of association, reorganisations, preparation for sale, and employee incentives.

  • Partner
  • T: +44 (0)20 7778 7243
  • Email me

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Elena Perri

Elena is an Associate based in the firm’s City office, specialising in corporate and commercial law, advising both businesses and individuals.

  • Associate
  • T: +44 (0)20 7778 7248
  • Email me

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Leah Caprani

Leah is a newly qualified solicitor, specialising in corporate law, assisting with a range of corporate matters including corporate finance, employee incentives, employee ownership trusts and M&A transactions.

  • Solicitor
  • T: +44 (0)20 7778 7228
  • Email me

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