our Specialism
Regulatory Compliance

Regulatory compliance is changing. Legal Sector Regulation is moving away from rules-based compliance. As it moves more and more to focus on outcomes, firms often need guidance on how to translate the requirements into practical measures.

How can Teal help with Regulatory compliance?

Practical and accessible policies and procedures and clear information for clients are essential to meet the regulatory compliance obligations. We help firms develop comprehensive documents, which provide clarity for the reader as to what is required and why.

We have designed various training courses to educate on the regulatory requirements, all of which can be tailored to your firm’s policies and procedures. Subjects include:

Code of Conduct
Account Rules
Roles and Responsibilities of Compliance Officers

Equality and Diversity
Compliant Handling
Risk Management and Effective Supersvision

One of our most popular services is our Compliance Gap Analysis Audit for firms who are looking to test their processes and procedures or who are looking to develop their compliance function and who are seeking guidance on where to focus.

Read more about the various services we can offer in regulatory compliance.

Our Regulatory Compliance SORTED Programme

Our ‘SORTED’ solution provides a comprehensive solution to your regulatory compliance needs. Our experts will work closely with you to assess your requirements and provide a personalised regulatory compliance strategy to mitigate risks effectively.

Find out more about how our Regulatory Compliance SORTED Programmes can help.

Download our Regulatory Compliance SORTED Programme Brochure

SORTED for medium and large law firms

SORTED for small law firms

Get in touch about our regulatory compliance services

To book, or find out more, about our regulatory compliance services, contact us today.

Testimonial from Right Legal

"We have been using Teal to support our compliance frameworks, and every aspect of our experience with them has been fantastic. From the training to the audits, and especially the ‘Ask Teal’ helpline, nothing is too much trouble, and you get quick support from some of the industry’s best compliance experts."

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Testimonial from Constantine Law

"We rely on Teal Compliance to provide responsive, practical compliance services to Constantine Law. They know what they are doing and they provide peace of mind regarding day-to-day compliance matters as well as responses to unforeseen (tricky) compliance matters. They have become an indispensable partner to Constantine Law in our growth journey."

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Testimonial from Streathers Solicitors

"We have worked with Teal for several years. They have provided us with AML training and also helped us put together our firm-wide AML risk assessment and our updated AML policy, along with assisting us with various issues as and when they arose. We have always found them to be very helpful, friendly, responsive and knowledgeable, and are happy to recommend them."

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Testimonial from Streathers Solicitors

"We have had a relationship with Teal for a number of years and they have provided a valuable resource to our compliance team. Teal combine the delivery of a personal and friendly service with city level expertise."

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