Compliance Documentation Lawyers
We build the compliance policy set your organisation needs, drafted to be workable.
Overview
Compliance without documents is merely an assertion. At the first audit or incident, the question is not "were you compliant?" but "show me the policy, the record and their dates." Companies operating on good but unwritten practice find themselves in the position of one who never complied — unfair, but procedurally real.
We prepare compliance documentation matched to what you actually do: AML and KYC policies, data protection policies and incident response procedures, a code of conduct and conflict of interest policy, internal reporting policies, and record retention and destruction procedures.
We deliberately avoid copied documents. A policy that does not reflect what the company actually does is evidence of breach rather than compliance, because it establishes a documented gap between what you committed to in writing and what your team does daily.
The legal framework
Compliance documents are built on the regimes applicable to the entity's activity:
- The AML and counter-terrorism financing regime and its regulations
- The Personal Data Protection Law and its implementing regulations
- Sector regulators' requirements according to the activity
- The corporate governance regulations and conflict of interest provisions
- The Essential Cybersecurity Controls for entities subject to them
- The Labour Law on internal policies and work regulations
Situations we handle
A company entering a regulated activity
Policies form part of the licensing file itself, and generic templates not adapted to the activity are not accepted.
Preparing for a regulatory audit
An audit asks for the policy, the record and the dates. A document without an implementation record is not enough on its own.
Building KYC procedures
Built as a documented operational process inside the system, not as a single step at onboarding.
A data incident response policy
The first hours determine the scale of impact. A written procedure is what makes response possible.
A code of conduct and conflicts policy
Structured disclosure prevents shareholder disputes and protects directors if questioned later.
Costly mistakes we see
- 1
Policies copied from another company
A document that does not match operational reality establishes a documented gap and is used against you in an audit.
- 2
A document with no implementation record
A policy without training, review and execution records remains text with no effect at the first question.
- 3
Not updating after amendments
A policy that was correct two years ago can be non-compliant today after an amendment in its subject matter.
- 4
Skipping training
Violations come from the operational team, not from management. An untrained policy is not implemented.
How the procedure runs, step by step
Compliance is proved by documents and records, not by intent. In an audit or an investigation, anything without a record is treated as not implemented.
- 1
Identify the obligations that actually apply
We scope what applies to your activity specifically: data protection, AML, safety, sector regulation and labour. A generic list produces policies nobody follows, so we start from your business.
- 2
Build policies that can be applied
Each policy is drafted with a clear procedure, an owner, and a deadline. A policy that states principles with no operative procedure is an archive document and protects nothing when you are held to account.
- 3
Records and evidence of application
We create the required registers: the processing record, training log, incident log, and conflict-of-interest disclosure register. The record is the evidence; the policy alone is not.
- 4
Training and acknowledgement
We prepare training materials and a signed acknowledgement from the relevant staff. A signed acknowledgement is what shifts responsibility from the entity to the individual who breached it.
- 5
Internal review and updating
We set a review cycle that tests actual application rather than the existence of a document. A system reviewed annually stays valid; an unreviewed one becomes stale paper that no longer matches the business.
Documents we will ask you for
- A description of the activity and applicable regulations
- The current policies and procedures
- The org chart and authority matrix
- Available training records
- Internal or external audit reports
- Any earlier violation or regulator observation
Fees and timelines
The compliance document package is offered at a fixed fee according to the activity and the number of policies required. Periodic review and updating after regulatory amendments are available on an annual arrangement. Training is priced per session or programme.
On timing: the core package takes two to four weeks depending on the scale of the activity and the number of regulators involved. Reviewing and updating existing policies takes one to two weeks.
Common questions
Which policies do we need?
It depends on your activity and supervising regulator. The general minimum is data protection, conflicts of interest and record retention. Financial, health and technology activities add mandatory sector policies.
Is having the policy in writing enough?
No. An audit asks for the policy and its implementation record together: training, reviews and execution logs. A document without an implementation record reads as a formality rather than compliance.
Can we use off-the-shelf templates?
A template is a starting point only. A policy that does not match what the company actually does establishes a documented gap between the written and the executed, which in some cases is worse than having no policy.
When should policies be updated?
On any amendment in their subject matter, on material change in the activity or systems, and by periodic annual review even without change.
What are KYC procedures?
Identity verification, transaction monitoring, record keeping and reporting suspicious activity, built as a documented operational process inside the system rather than a single step at onboarding.
Does the service include training?
Yes, and we strongly recommend it: violations usually come from the operational team rather than management, and an untrained policy is not implemented however well drafted.
What do we do when an incident occurs?
Follow the written response procedure: containment, documentation, impact assessment, then notification as required. Improvising in the first hours is usually what multiplies the regulatory impact.
Will you review our existing policies?
Yes, with a review identifying the gaps between what is written and what the law requires, and between what is written and what is actually done, with proposed amendments ready for adoption.
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