Compliance and Permitting

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Effective compliance is good for business

Compliance can be used to show regulators that compliance is an integral part of the business's culture and that clients are at little or no risk. It can also be used to attract clients as well as funding from lenders.

Consultancy services

Compliance is a key aspect of any regulated business, but it should not be seen merely as a box-ticking exercise to appease regulators. It can be used to show regulators that compliance is an integral part of the business’s culture and that clients are at little or no risk. It can be used to attract clients as well as funding from lenders. Our services can be designed around a business’s specific needs, whether this is a one-off project, adhoc advice and assistance, or regular site visits to carry out file reviews or compliance data reviews. We can also provide a fully outsourced compliance service. We are in the unique position of not only being able to provide very experienced compliance consultants, but also a risk and compliance tools that can be used to record and manage a firm’s compliance and quality related data. 

On-Site Compliance Audits The on-site audit is intended to provide a regulated business with a view of its current level of compliance against its regulatory and/or accreditation obligations. We don’t just identify the compliance gaps that may exist in a business and leave the compliance team to it; we also assist in addressing them by updating existing policies and procedures, or working with the compliance team to replace them completely. The audit will look at the following areas:

• Structure & Strategy 
• Financial Management 
• Information Management 
• People Management 
• Risk Management 
• Client Care 
• File & Case Management 

Accreditation Consultancy Compliance training must be provided to all staff otherwise they are unable to act as the eyes and ears of the compliance team. We are able to provide various on-site training courses that can be adapted to fit the needs and circumstances of each firm. These include: 

• Outcomes Focused Regulation 
• Identification & Management of Breaches 
• Risk Management 
• Business Continuity Planning 
• Human Resource Management 
• Equality & Diversity 
• Data Protection 

Independent Oversight of Compliance Oversight of key compliance roles must form a fundamental part of a regulated business’s compliance programme. If it does not, owners and managers could face action by their regulators should a compliance officer make a serious mistake or become involved in unprofessional or illegal conduct. We provide the specialist independent oversight that is required to ensure the right questions are asked of compliance officers. We assist businesses by: 

• Reviewing compliance performance & internal reporting 
• Managing risk appetite 
• Reviewing outputs from risk assessment processes 
• Proposing & overseeing compliance monitoring requirements 
• Monitoring, reviewing & appointment of external auditors 
• Reviewing & approval of annual reports and accounts 
• Monitoring processes for resolving escalated complaints

 Our permitting team provide specialist regulatory advice to businesses that are subject to environmental legislation, throughout the Caspian Region.

We have significant experience in Environmental Permitting and Regulation and has provided support to a wide range of public and private sector clients in the waste, energy, utilities, construction and leisure industries. We provide a completely integrated service through our team of in-house experts and our trusted network of established external specialists.

We have proven experience in the implementation of environmental legislation. Our team offer a unique insight into regulatory requirements as well as a rich network of contacts within these Regulatory Bodies.

• Environmental Permitting and Regulatory Advice
• Preparation and submission of Environmental Permit applications, Assessments & Management Plans
• Consultation and Negotiation with Regulators
• Technical support to Public Inquiries & legal challenges
• Registrations of exemptions to the requirement to have an environmental permit