Regulatory & Compliance Top 10


An essential aid to better compliance

As a business, how well do you understand your regulatory responsibilities?

1. Health & Safety

Review and update your risk assessments. Are you ensuring that you scan your business for new or evolving risks to safety?

2. Focus on Stress & Mental Health

Have you thought about your team’s working hours and the working environment? Are you aware of possible sources of conflict with co-workers and managers?

3. Don’t Forget Fire

When did you last check your fire risk assessment? Should you have fire wardens? Think about personal emergency evacuation plans and who might need them.

4. Environment

Do you have an environmental management system? Having a framework of processes and procedures and understanding your risk is fundamental in achieving any environmental performance objectives.

5. Use a Risk Register

Have you got a risk register? If you don’t understand your risk and legal obligations, you won’t be focussing your attention, or your time and budget, on the right things. 

6. Beware of Bribery

Is your Anti-Bribery and Corruption policy up to date and how can you demonstrate compliance with that policy?

7. Tax Liability

The Criminal Finance Act 2017 imposes obligations on businesses to ensure that they are not facilitating tax evasion – can you be sure that your business is complying?

8. Healthy Competition

When did you last review your supply or distribution agreements to check that any restrictions contained there are competition law compliant?

9. Modern Slavery

Are you sure your supply chain is free from modern slavery? What due diligence have you undertaken? Even if you do not hit the £36m turnover threshold, many business partners now want to see a commitment to compliance with modern slavery laws.

10. Business Interruption

Potential business interruption risks are increasingly diverse and complex and include such things as IT breakdown, Cyber-attack, product recalls, quality issues or Safety, Health and Environmental incidents. Review and update your business interruption plan.

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