Welcome to this month’s edition of Compliance Lifeline from Enderley Consulting — and a very happy 15th birthday to us! 🎉
For fifteen years we’ve been supporting law firms and professional-services organisations to stay ahead of regulatory change, improve their controls and convert compliance obligations into business advantage. This month, we bring you six timely updates that span AML / sanctions, tax-adviser registration and supervisory shifts — all of which could meaningfully impact your firm’s risk-framework, training needs and governance oversight.
This month's Compliance Lifeline contributors
Mazur: Rethinking who can conduct litigation and what it means for your firm (5 November 2025)
Read More »And finally...
Taken together, this month’s updates highlight several persistent themes:
Leadership accountability is front and centre: regulators expect boards, COLPs/COFAs, MLROs and senior executives to own compliance frameworks, not delegate them to middle-management alone.
Documentation and audit-trail strength matter more than ever. It’s no longer enough to “have” a policy: you must show it was applied, reviewed, challenged and evidenced.
Change is accelerating. With transitions like the sanctions list merger, tax-adviser registration and enhanced expectations around SOF/SOW, firms need to move from “prepare when convenient” to “prepare now”.
Training and systems must keep pace. The days of paper check-lists and generic training are over. Firms should invest in risk-based, role-specific training, no-fault supervision and technology-enabled safeguards.
As we mark our 15th year of providing trusted compliance support, we remain committed to helping your firm navigate these developments with confidence, clarity and practical action. Please reach out if you’d like support to align your risk-assessment, update your policy-framework, or train your team.
Warm wishes from the Enderley team…here’s to the next 15 years of partnership and progress!