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UKSolicitorJA
UKSolicitorJA, Solicitor
Category: Law
Satisfied Customers: 4312
Experience:  English solicitor with over 12 years experience
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What is compliance in a legal perspective?

Customer Question

What is compliance in a legal perspective?
Submitted: 3 years ago.
Category: Law
Expert:  UKSolicitorJA replied 3 years ago.
Hello,

It simply means that all applicable laws, rules and regulations are being complied with i.e. are being observed.

Hope this helps
Customer: replied 3 years ago.

If I am a firm could I appoint a lawyer to be my compliance oversight

Expert:  UKSolicitorJA replied 3 years ago.
What type of firm are you referring to please?
Customer: replied 3 years ago.

a financial firm

Expert:  UKSolicitorJA replied 3 years ago.
Yes it may do so.

Also see the FCA handbook

http://fshandbook.info/FS/html/FCA/SYSC/3/2
UKSolicitorJA and other Law Specialists are ready to help you
Customer: replied 3 years ago.

Hello, I have a compliance question.


 


Basically, a compliance oversight of a firm has been handling a complaint for me. He promised to be in a position to respond today, and if he is unable to respond he would in fact inform me in advance.


 


Such a firm is regulated by the FCA.


 


What are my rights thanks

Expert:  UKSolicitorJA replied 3 years ago.
You have a right to complain about this.

See here for the procedure

http://www.fca.org.uk/consumers/complaints-and-compensation/how-to-complain

Customer: replied 3 years ago.

Under what legislation or rules and regulation am I allowed to complain about this thanks

Expert:  UKSolicitorJA replied 3 years ago.
Please post a new question with your new query.

Thank you
Customer: replied 3 years ago.

http://www.justanswer.co.uk/law/8e1bh-uksolicitorja-under-rules-regulations.html

Expert:  UKSolicitorJA replied 3 years ago.
Ok