Regulatory Monitoring and Compliance
Whether you’re proactively assessing your compliance in a particular area or responding to an enquiry or monitoring exercise, we’ll apply both legal expertise and insight into the regulator’s perspective to help you make commercial decisions.

Several things can prompt a business to check that it is fully compliant with the regulations in its sector.

When you will be part of a regulator’s monitoring exercise, we can provide strategic advice on next steps; if you decide to respond, we can manage the process of assembling and organising all the necessary documents so that your response is effective and appropriate. If you are considering a contact from a regulator’s compliance department, we can help you to properly assess the risks and respond appropriately. We can also proactively stress-test your existing arrangements – not just to check that you are currently compliant, but also to ensure that your policies and procedures are sufficiently robust.

Whatever the precise circumstances, we apply not just legal expertise but also a real understanding of your business and your sector, and most importantly the ability to see the world through the regulator’s eyes, as many people in our team have experience of working with one or more regulators. This gives us a perspective on compliance issues that is much wider than the purely legal view; we can provide practical and commercially aware advice that enables you to assess your risks and take decisions accordingly.

Our expertise includes:

Strategic advice on responses to regulators
Preparing and presenting responses during monitoring exercises
Assessing current compliance with particular regulations
Stress-testing existing policies and procedures
Drafting Regulatory Compliance policies

Meet our key contacts

Jamie McRorie

Partner

Liz McRobb

Consultant

Meet our full team

Jonathan Carey

Solicitor

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Gordon Downie

Partner

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Natasha Durkin

Senior Associate

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Jamie McRorie

Partner

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Kenzie Sharkey

Senior Associate

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Related articles and insights: Regulatory Monitoring and Compliance

7 April 2025

Will dynamic pricing be shown the red card?

Contributor: Jonathan Carey

The government’s public consultation on the resale of live events tickets closed for responses on 4 April. Against that backdrop, and with the use of dynamic pricing firmly in the regulatory spotlight, we explain what it all could mean for those hosting and selling tickets to sporting (and other) events.

19 April 2024

Pricing algorithms and competition law in the UK and beyond

In the emerging digital age, companies are increasingly using and developing pricing algorithms to help them determine prices on a near real-time basis. In this article, the Regulation and Markets team considers how the use of these algorithms can impact competition, with a particular focus on the hotel online booking sector.

1 March 2024

CyberScotland Week: Cyber Security Reforms

As part of CyberScotland Week, the regulatory risk and compliance team examine potential cyber security reforms and how they could impact on organisations’ compliance practices.

26 February 2024

CyberScotland Week: Cyber security risk assessments

Contributor: Kevin Clancy

As CyberScotland Week kicks off, the regulatory risk and compliance team examine the legal requirements for organisations to undertake cyber security risk assessments, the consequences of failing to do so, and how organisations can ensure that they carry out assessments effectively.

31 October 2023

Moveable transactions – Scotland v England: Round 1 – assigning receivables

Contributors:
Andrew Kinnes, Hamish Patrick

Scottish moveable transactions law is currently outdated and much less useful in practice than the law in England and Wales. The Moveable Transactions (Scotland) Act 2023 will bring Scots law up to date when it comes into force and will arguably move it ahead of the law south of the border. This article, first published in the October issue of the Butterworths Journal of International Banking and Financial Law, tests whether or not that is the case when assigning receivables.

11 April 2023

CMA signals more flexibility for sustainability agreements – Further thoughts

Contributor: Gordon Downie

Building on our previous article on the subject, we set out some further reflections on some points the CMA might want to consider in making its proposed draft guidance on sustainability agreements more useable.

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