Regulatory and Compliance

Regulatory & Compliance

At Wilford Smith Solicitors, our regulatory and compliance Solicitors have the experience and expertise to ensure that your business meets even the most strict regulatory requirements and remains compliant at all times, no matter what your industry sector. We understand that failure to meet your business and sector-specific regulatory and compliance obligations can lead to serious sanctions and penalties from regulatory authorities. Maintaining proper regulatory alignment and compliance at all times is essential in ensuring that your business can continue to operate and gain the continued confidence of clients, businesses, investors, and lenders.

Our regulatory and compliance Solicitors offer more than just one-off legal advice; we are your trusted advisor on all legal matters relating to your regulatory and compliance needs. We will work as an integral extension of your business, offering support and advice and providing all of the regulatory and compliance expertise you will ever need.

Why Use Our Regulatory and Compliance Managed Service? 

We understand that regulatory and compliance can be both costly, time-consuming, and demand a great deal of your internal resources. For this reason, we offer an outsourced regulatory and compliance managed service. Unlike a traditional law firm that provides individual services on a one-off basis, for a fixed monthly fee, we will handle all of your regulatory and compliance matters. Crucially, we will build relationships and integrate with your existing team to provide a seamless service.

By retaining our regulatory and compliance services on a monthly rolling basis, your business will have:

  • Access to all of the regulatory and compliance law expertise you will ever need, whenever you need it. We will answer any regulatory and compliance question whether you are facing a crisis or just need a second opinion.
  • A direct phone line allowing you to speak with your dedicated regulatory and compliance expert. You can be assured that the specialist assigned to your business will have all of the necessary regulatory and compliance expertise for your specific industry sector.
  • Access to a dedicated corporate relationship manager.
  • The benefit of over 40 years experience in corporate regulatory and compliance law.
  • The benefit of the most commercially astute regulatory and compliance guidance available in the UK.
  • Protection for your team and your business from potential legal claims
  • The best possible representation if your matter is referred for investigation to a regulatory authority.
  • The confidence of knowing you have the backup of an SRA regulated law firm with qualified regulatory and compliance lawyers.
  • Much lower overall regulatory and compliance costs compared to full-time regulatory and compliance staff or consultants.

What Can Our Regulatory and Compliance Team Do For You?

By using our fixed price monthly service, our team will handle all of your regulatory and compliance needs; specifically, we will:

  • Take the time to understand your business and industry sector.

  • Assess the regulatory and compliance requirements that apply to your business (e.g. financial, health and safety, legal, charitable, health, transport, utilities, and environmental). It is important to understand that not all parts of your business may be subject to the same regulations. We will explain which regulations affect each part of your business.

  • Develop clear policies and procedures to ensure your business meets its regulatory and compliance obligations.

  • Provide training on how to meet your regulations and compliance requirements
  • Ensure your business remains up to date with the latest developments in regulations and compliance.
  • Ensure your business carries out its reporting obligations (e.g. RIDDOR reporting to HSE)
  • Advise and represent you at ‘fitness to practice’ hearings
  • Carry out an audit across your organisation to determine your current level of compliance for each regulatory area
  • Identify gaps in compliance and how these can be filled
  • Represent you during regulatory investigations
  • Represent you during interviews with your regulator
  • Ensure that the contracts you enter into meet are compliant
  • Advise on the acquisition of regulated businesses
  • Seek formal approval to commence regulated activities and services

We can provide expertise to advise and represent you regarding your regulatory and compliance needs no matter the type of business, including if you are an accountant, bank, building society, a blue chip company, charity, education provider, financial adviser, investment company, FCA approved entity, healthcare professional, legal professional, housing sector organisation, fund management company, or public limited company.

Why Wilford Smith Solicitors?

Wilford Smith was founded over 40 years ago and is now considered one of the UK’s most prestigious law firms, having developed a richly deserved reputation for excellence in our core areas of law, including in regulation and compliance. We are more than just a law firm; we are your trusted legal advisor and will be there at every step of your commercial journey. You are never alone. You can be assured that with our team handling your regulatory and compliance matters, exceptional outcomes are the norm. And most importantly, you can relax in the knowledge that Wilford Smith will ensure that you remain compliant with your regulatory obligations at all times.

Our regulatory and compliance teams are based in Sheffield and advise and represent clients throughout England and Wales. Contact us today on 0808 168 5813 to find out how we can help.


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At Wilford Smith we are invested in your success. Our team will get to know you, your family, your business, and your market sector. To us, you and needs are unique. You can be confident that by instructing us, we will take care of all your legal matters throughout your lifetime, providing creative solutions and protecting your best interests.



  • Meadowhall Business Park
  • S9 2EQ
  • Tel: 0808 164 4106
  • Fax: 0844 225 0572


  • Smithy House 22 Westgate,
  • Rotherham S60 1AP
  • Tel: 0808 164 4106
  • Fax: 0844 225 0572


  • 20 Old Bailey
  • LondonEC4M 7AN
  • By appointment only
Copyright ©2024 Wilford Smith, All rights reserved.
2024 Wilford Smith is the trading name of WS Strategic Ltd. a limited company registered in England and Wales, registration number 07777022. Registered office – Meadowhall Business Park, Sheffield S9 2EQ. We are authorised and regulated by the Solicitors Regulation Authority. SRA Registration Number 640898.