Compliance and Regulatory Advice

Regulatory obligations affect every sector, and the consequences of falling short are significant. Our compliance solicitors advise law firms, financial services businesses, healthcare professionals and companies across all sectors on meeting their regulatory requirements, managing risk and responding to investigations and enforcement action across the UK.

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How Our Compliance Solicitors Help Regulated Businesses and Professionals

Our compliance solicitors advise across six regulatory areas, providing practical compliance support and legal advice that is proportionate to your sector and situation.

Law Firm Regulation

Advice for law firms, COLPs, COFAs and practice managers on SRA compliance, AML obligations, transparency rules, regulatory investigations, disciplinary proceedings and the full lifecycle of a regulated legal practice from authorisation through to closure.

Financial Services (FCA)

Advice for financial services firms on FCA compliance, authorisation applications, financial promotions compliance and AML obligations in the financial sector, helping firms meet their regulatory requirements and respond to FCA scrutiny at any stage.

Data & Privacy (ICO)

Advice for businesses on GDPR compliance, data breach response, ICO advisory matters and ICO registration, helping organisations build robust data protection frameworks and respond effectively when a breach occurs.

Healthcare & Regulated Professionals

Advice for doctors, dental professionals and care providers on GMC, GDC and CQC matters, including fitness to practice proceedings, registration issues, compliance advisory support and CQC inspections and enforcement.

Workplace & Business (HSE)

Advice for businesses on HSE compliance, risk assessments and regulatory enforcement support, helping employers understand their health and safety obligations and respond to enforcement action from the Health and Safety Executive.

Cross Sector Compliance

Advice for businesses across all sectors on AML compliance, regulatory investigations, corporate governance and outsourced compliance arrangements, providing flexible regulatory support that scales with the size and complexity of your organisation.

Compliance Support built around your Business

Regulatory obligations do not pause while you run your business. Our compliance solicitors take the time to understand your sector, your obligations and where your current position sits before they advise on what needs to change. That means the advice is proportionate to your situation.

Our clients tell us they value working directly with solicitors who engage with the specifics of their regulatory position. When a regulator gets in touch or a compliance gap is identified, it is dealt with directly and promptly by the person responsible for your matter.

Our compliance solicitors bring sector knowledge alongside legal expertise. They understand how regulators think, what they look for and how decisions play out in practice for businesses and professionals operating in regulated industries. Whether the matter is a compliance health check or a response to enforcement action, you receive substantive input at every stage.

Compliance is most effective when it is built into how an organisation operates rather than addressed reactively. We work with law firms, financial services businesses, healthcare professionals and companies across Manchester and the UK to put the right frameworks in place before problems arise, and to respond effectively when they do.

Contact Us info@marlegal.co.uk

What This Means for You

  • A clear picture of your regulatory obligations before problems arise
  • Early advice that reduces the risk of enforcement action
  • A proportionate response if a regulator gets in touch
  • Policies and frameworks that stand up to scrutiny
  • Ongoing compliance support without the cost of a full-time hire

When To Seek Advice

  • You have received a notification from a regulator and need to respond
  • Your firm is preparing for an audit, inspection or regulatory review
  • A complaint has been made against you or your organisation to a regulator
  • Your current compliance framework has not been reviewed in the last 12 months
  • You are setting up a regulated business and need to understand your obligations from the outset

Meet the Founder

Marium Razzaq - Solicitors in Manchester
Marium Razzaq MCIArb
Solicitor & Director – Mar Legal

Marium brings 22 years of experience advising law firms, regulated businesses and professionals on compliance and regulatory matters across the UK and internationally. A Solicitor regulated by the SRA (ID: 277854), MCIArb, and DIFC Courts mediator, she founded MAR Legal to give regulated organisations direct access to senior compliance advice without the overhead of a traditional firm.

Why Businesses and Professionals choose MAR Legal for Compliance

Solicitor Led Advice

Every compliance matter is handled directly by our compliance solicitors

Proactive and Practical

We focus on getting the right framework in place early, so compliance is an asset to your business rather than a recurring problem.

Fixed Fee Pricing

Many compliance services are available on a fixed fee basis so you have certainty on cost before work begins.

Sector Specific

Our solicitors advise across multiple regulated sectors and understand the specific obligations that apply to your organisation.

Trusted by law firms, regulated businesses and professionals across the UK for clear, practical compliance and regulatory advice.

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How Our Compliance Process Works

01

Initial review

We assess your current compliance position, identify any gaps or areas of risk and give you a clear picture of what needs to be addressed.

02

Advice and recommendations

We set out the steps required to meet your obligations, in plain terms, with a clear view of priorities and timescales.

03

Documentation and frameworks

Where required, we draft or review policies, procedures and compliance documentation to bring your organisation into line with its regulatory requirements.

04

going support

For organisations that need continuing compliance advice, we provide retained support on a flexible basis, covering monitoring, training and regulatory updates as they arise.

What Our Clients Say

Compliance and Regulatory Advice FAQs

Compliance solicitors advise individuals and organisations on meeting their regulatory obligations, managing regulatory risk and responding to investigations or enforcement action. The work varies significantly by sector: for law firms it covers SRA compliance, COLP and COFA obligations and disciplinary proceedings; for financial services businesses it covers FCA authorisation and AML; for healthcare professionals it covers GMC, GDC and CQC matters. The common thread is giving regulated organisations the legal input they need to operate within their obligations and respond effectively when something goes wrong.

It depends on the nature of the support you need. A compliance consultant typically focuses on process: building frameworks, writing policies, conducting audits. A compliance solicitor provides legal advice on your regulatory obligations, advises on the legal risk of specific decisions and represents your interests in dealings with a regulator. For straightforward compliance health checks, a consultant may be sufficient. Where you are facing regulatory scrutiny, an investigation or enforcement action, legal advice is needed and the earlier it is taken the better the position you are likely to be in.

The process varies by regulator but typically begins with a notification that a complaint has been received or that the regulator is conducting a review. The regulated individual or firm is usually asked to provide information, documents or a formal response within a set timeframe. Depending on the outcome, the regulator may close the matter, issue guidance or take formal disciplinary action. Taking legal advice at the notification stage, before any response is provided, is almost always the most effective approach, as how you respond in the early stages can significantly affect the outcome.

Yes. For smaller regulated firms and businesses without the resource to maintain a full-time compliance function in house, we provide retained compliance advisory services covering ongoing regulatory monitoring, policy and procedure review, staff training and compliance health checks. This gives regulated organisations access to experienced compliance advice on a flexible basis without the cost of a permanent hire. We work with law firms, financial services businesses and other regulated organisations on this basis.

Our compliance solicitors advise across the SRA for law firms, the FCA for financial services businesses, the ICO for data protection and GDPR matters, the GMC for doctors and medical professionals, the GDC for dental professionals, the CQC for care providers and health and social care organisations, and the HSE for workplace health and safety. We also advise on cross-sector obligations including AML, corporate governance and regulatory investigations that span multiple regulatory frameworks.

The honest answer is that many businesses are not certain, particularly where regulatory requirements have changed, or the business has grown without a formal compliance review. A compliance health check is usually the most practical starting point: it maps your current position against your obligations, identifies gaps and sets out a prioritised action plan. It is significantly cheaper to identify and address compliance gaps proactively than to respond to a regulator who has identified them first.

Law firm regulation is a specific area covering the obligations of SRA-regulated practices, including the duties of COLPs and COFAs, AML compliance, SRA transparency rules, and the regulatory framework that governs how law firms operate, are authorised, and can be investigated or closed. General compliance advice covers the regulatory obligations of businesses and professionals outside the legal sector, such as FCA, ICO, GMC, GDC, CQC and HSE requirements. MAR Legal advises across both, which is unusual for a firm of this size and reflects Marium’s background in law firm regulation and broader regulatory work.

MAR Legal provides advisory and documentation support across compliance and regulatory matters. We do not conduct litigation or represent clients in regulatory tribunal or court proceedings. Where a matter requires regulated representation before a tribunal, court or regulatory body, we work alongside appropriately regulated professionals to provide that element of the service.