Outsourced Compliance & Regulatory Services


Outsource all your compliance tasks to a team of experts


Key Features and Benefits

With compliance requirements ever increasing, along with demands on in-house compliance teams, the risks of failing to meet these demands has also increased.

The pressure to be compliant comes not only from the regulator but also from clients and investors who view non-compliance as a red flag for committing new funding.

Many smaller companies typically don't have the requisite in-house resources and experience to meet regulatory requirements while larger financial services firms suffer from extraordinary compliance costs to ensure all necessary tasks are completed.

We provide a number of outsourced support functions which enable clients to remain compliant while assisting in minimising regulatory risk and reducing costs:

  • Financial Promotion Approvals
  • Training and Competence Programmes
  • Onboarding of new employees, suitability assessment
  • Compliance Reporting
  • Ongoing Compliance Monitoring
  • Delegated Risk Management
  • Outsourced compliance functions and administration
  • Client and investor suitability tests
  • AML and KYC checks
  • Trading reviews
  • Structured Training & Competence programmes

Lawson Conner has successfully worked with a number of financial services firms achieving significant gains in productivity and reduction of costs while enhancing the "compliance" product and reducing regulatory risk.

Contact us

For more information contact
Joe Woodbury
E: jwoodbury@lawsonconner.com
D: +44 (0) 203 696 2560

Andrew Frost
E: afrost@lawsonconner.com
D: +44 (0) 203 696 2568

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Key Features and Benefits


Contact us

For more information contact
Joe Woodbury
E: jwoodbury@lawsonconner.com
D: +44 (0) 203 696 2560

Andrew Frost
E: afrost@lawsonconner.com
D: +44 (0) 203 696 2568

Download PDF Information
Download PDF Information


With compliance requirements ever increasing, along with demands on in-house compliance teams, the risks of failing to meet these demands has also increased.

The pressure to be compliant comes not only from the regulator but also from clients and investors who view non-compliance as a red flag for committing new funding.

Many smaller companies typically don't have the requisite in-house resources and experience to meet regulatory requirements while larger financial services firms suffer from extraordinary compliance costs to ensure all necessary tasks are completed.

We provide a number of outsourced support functions which enable clients to remain compliant while assisting in minimising regulatory risk and reducing costs:

  • Financial Promotion Approvals
  • Training and Competence Programmes
  • Onboarding of new employees, suitability assessment
  • Compliance Reporting
  • Ongoing Compliance Monitoring
  • Delegated Risk Management
  • Outsourced compliance functions and administration
  • Client and investor suitability tests
  • AML and KYC checks
  • Trading reviews
  • Structured Training & Competence programmes

Lawson Conner has successfully worked with a number of financial services firms achieving significant gains in productivity and reduction of costs while enhancing the "compliance" product and reducing regulatory risk.