Compliance

Compliance support that protects your operations — clear structure, aligned processes and steady regulatory support that keeps your business stable.

Scope of Work

Governance & Corporate Structure

• Company governance for micro and small businesses
• Compliance for holding structures and group entities
• PSC management and statutory registers
• Resolutions and minutes for business decisions
• Ensuring decisions are aligned with tax and accounting treatment
• Director duties and decision‑making frameworks
• Ensuring alignment between governance, tax and accounting

Companies House & Corporate Compliance

• Maintaining statutory registers and PSC records
• Preparing resolutions and minutes for business decisions
• Filing statutory changes (directors, shareholders, addresses, share structure)
• Preparing confirmation statements and supporting documents
• Ensuring company records match real operations 
• Reviewing company structure for compliance and risk
• Coordinating filings across multi‑entity and holding structures
• Ensuring Companies House documentation is consistent with governance, tax and accounting

Operational Compliance

• Operational policies and procedures tailored to the business
• Internal controls and workflow documentation
• Compliance processes for day‑to‑day operations
• Updating compliance when business activities change
• Ensuring documentation matches real operations 

Risk & Internal Controls

• Business‑level risk assessments
• Identifying operational, financial and compliance risks
• Designing proportionate internal controls
• Ongoing monitoring of regulatory obligations
• Practical guidance for reducing exposure to penalties and disputes

AML & Due Diligence

• AML documentation and internal processes
• Customer due diligence procedures 
• AML registers and evidence files
• Risk‑based approach for onboarding clients
• Preparing for AML checks and audits
• Clarifying AML requirements for specific business models

Regulatory Documentation & Reporting

• Mandatory reporting requirements for small companies
• Preparing compliance documentation for regulators
• Clarifying regulatory expectations and obligations
• Responding to compliance checks and enquiries
• Evidence packs, explanations and structured responses

Entity Management & SPV Compliance

• Compliance for property SPVs
• Documentation for investors and shareholders
• Maintaining statutory records and filings
• Ensuring SPV alignment with tax and accounting
• Ongoing monitoring of obligations for multi‑entity structures

Business‑Specific Obligations & Insurance Requirements

• Identifying mandatory insurance requirements for specific business types
• Clarifying statutory obligations for landlords, traders and service providers
• Ensuring business activities meet minimum legal and regulatory standards
• Preparing documentation and evidence for compliance checks
• Aligning operational obligations with tax, accounting and governance
• Highlighting sector‑specific risks and required internal controls

Charity Governance & Compliance (Small and Medium)

• Governance support for trustees and committees
• Policies, procedures and internal controls
• Minutes, resolutions and decision‑making documentation
• Ensuring alignment between governance, accounting and reporting
• Preparing documentation for Charity Commission submissions
• Risk assessments and operational compliance for small charities