What is Regulatory Compliance?
LexisNexis is strengthening the response of governance, risk and compliance functions to the demands of an increasingly complex regulatory environment by applying world-class legal expertise to a new technology solution: LexisNexis Regulatory Compliance.
LexisNexis Regulatory Compliance is an always up-to-date obligations register. It offers concise guidance on exactly which regulations you should follow and how to be compliant with them. Real-time alerts ensure that, when legislation changes, you know what to do about it. We advise you on exactly which action to take, why to take it and what the consequences are of non‑compliance.
Our Modules
Click the module below to find out more.
Anti-Bribery & Corruption
Organisations risk exposure to criminal liability as well as facing significant penalties for non-compliance with the various anti-bribery laws, including the UK Bribery Act 2010. This module addresses the technicalities of the Act, explains its terms and sets out those factors and issues that an organisation should consider when conducting its bribery and corruption risk assessment.
AML-CFT - Anti-money laundering and counter-terrorist financing
The UK AML/CFT/Sanctions framework is contained in a number of laws and regulations and organisations operating in the regulated sector have a range of legal and regulatory obligations they must satisfy. This module explains what is meant by working in the regulated sector, along with detail as to what organisations can expect in relation to its AML/CFT compliance obligations.
Asset Management
Organisations intending to provide asset management services in the UK must obtain the appropriate authorisation from the FCA. These organisations and their employees are required to be familiar with the legal obligations to which they are subject. This module aims to equip organisations with knowledge of their obligations and the processes and procedures necessary to establish the relevant systems and operations to ensure compliance, including sustainability reporting.
Banking And Lending
The Banking and Lending module explains the legislative and regulatory requirements for banks operating in the UK who offer banking and lending services, and incorporates the rules and standards administered in the UK by the FCA, the PRA and the PSR. Both organisations seeking authorisation to provide banking services in the UK, and organisations that already provide banking services, can use this module to confirm the adequacy of existing compliance measures and gauge the compliance burden of possible expansions.
Casinos & Gambling
This module details the regulatory requirements for gambling in Great Britain (England, Wales and Scotland). Gambling, including betting, gaming, and lotteries, is regulated under the Gambling Act 2005. The Gambling Commission is the regulator for gambling, along with licensing authorities in respect of premises licensing (local authorities in England and Wales, licensing boards in Scotland).
Competition
UK competition law prohibits organisations from engaging in anti-competitive agreements and an abuse of a dominant position. The law creates civil offences for such behaviour or agreements as well as a criminal cartel offence against individuals who engage in certain anti-competitive agreements. This module sets out the UK competition laws, rules and regulations which organisations must comply with.
Consumer Protection
This module informs UK organisations of their legislated legal consumer protection obligations. UK consumer protection laws are wide-ranging and apply to the provision of goods, services and/or digital content, product liability, marketing, and advertising (on-premises, off-premises and on-line) and consumer credit agreements. An organisation providing any (or any combination) of those to consumers must comply with legal obligations, rules and requirements.
Corporations
This module informs the directors and officers of companies of their legislative obligations and best practice processes to be implemented and maintained within all levels of the organisation and throughout the life cycle of the company.
Cybersecurity
The UK does not have a dedicated cybersecurity law; consequently, the obligations to safeguard its network and information system from abuse, misuse or attack are contained across a number of laws. This module addresses the regulatory frameworks that an organisation must take into account when building its cybersecurity strategy, along with required actions and the consequences for failure in each.
Employment
Every UK employer has legal obligations it owes to workers and prospective workers. Employers must ensure that all workers are treated fairly. This involves understanding various sources of legislation including, the: Employment Act 2002, Employment Relations Act 1999, Employment Rights Act 1996 and Equality Act 2010. This module uncovers your compliance obligations across the entire employment life cycle – from recruitment to employment contract obligations, right through to fair treatment in the workplace and more.
Environment
This module informs UK organisations of their legislated legal obligations to the environment. The module focuses on providing practical assistance to UK organisations to ensure that they comply with sustainability regulations by transparently reporting energy use, climate risks, and pollution measures.
England and Wales Solicitors Regulation
Solicitors in England and Wales are governed by a framework of legal services and solicitors legislation, such as the Legal Services Act 2007 and the Solicitors Act 1974, which controls the provision of legal services and restricts the practice of certain legal activities. This module addresses this legal and regulatory landscape concisely, covering a wide range of requirements which solicitors and legal firms must take into account, along with the required actions and the consequences for failure to comply.
Financial Sanctions
The UK's Financial Sanctions regime is a powerful legal tool - rooted in foreign policy and national security. It comprises of several sets of regulations and has broad application, applying both to: All individuals and legal entities who are within, or undertake activities within, the UK's territory and All UK nationals and legal entities established under UK law, including their branches (irrespective of where their activities take place). This module will help support organisations understand their obligations in relation to applicable financial sanctions regimes.
Financial Services Authorisation
An organisation seeking to offer regulated financial services activities or consumer credit to consumers in the UK is subject to strict legal processes and procedures, including obtaining formal authorisation to provide such services or credit. This module breaks these processes and procedures into the clear and concise legal obligations.
Insurance
This module addresses all areas of PRA and FCA regulation that apply to insurance organisations wishing to operate in the UK. Content provided falls into the areas of authorisation, regulation, and customer relations. Specific rules for long-term insurance and general insurance are also provided in this module. Insurance organisations should adhere to the guidance provided in this module for satisfactory compliance with the rules that govern the insurance industry.
Modern Slavery
The Modern Slavery module advises UK organisations of the processes and procedures they need to implement to ensure compliance with all legal and regulatory obligations relating to modern slavery, human trafficking and exploitation.
Payment Services
The Payment Services module outlines the regulatory requirements for payment service providers and e-money institutions operating in the UK. It explains the obligations of Payment Service Providers for those that are new to the UK payments industry or that already provide, operate, or administer payment systems in the UK.
Privacy & Data Protection
Regardless of which industry you are in, privacy and data protection issues affect us all. The Privacy and Data Protection module identifies and guides your organisation through the compliance obligations surrounding the secure collection, management and maintenance of personal information within the Australian legal framework.
Tax
This module sets out the taxes UK-resident and, in certain circumstances, non-resident individuals and entities are liable to pay in the United Kingdom. The module provides a detailed explanation of the obligations taxpayers must meet and the legal consequences of non-compliance.
Workplace Health & Safety
This module aims to assist an organisation in understand as an employer their general legal duty to protect the health, safety and welfare of persons at work, which involves understanding and complying with the myriad of health and safety law.
Why use LexisNexis Regulatory Compliance?
Spend more time adding value and less time chasing compliance. We’ll do the hard work for you.
Maintain your compliance obligations
Be across everything your organisation needs to be compliant with. Ensure you are compliant with industry regulation and above all, the law.
Access to expert support
Only work with the latest obligations. Our experts monitor legislation and automatically update your registers so you don’t have to.
Improve your workflow
Checklists. Flowcharts. Templates. The tools you need to streamline your compliance management.
Work with confidence
Integrate into your GRC system. With obligations automatically in your workflow, it’s easy to monitor and delegate.
Bespoke packages individual to you
Each module can be purchased individually or as a package, so you can acquire only the content relevant to you.
Improve response time
The register shows you exactly what needs to be done and, with explanatory guidance, how to do it.
Stay one step ahead
Receive real-time email alerts on today's legislation. Know what has changed and get expert guidance on what to do next.
Easy-to-apply obligations
Our legal experts translate the obligations into simple English. No matter your speciality—compliance can be effortless.
Resources and Insight
EU PRIVACY AND DATA PROTECTION
EU PRIVACY AND DATA PROTECTION CHECKLIST
EU Privacy and Data Protection laws govern how personal data is collected, used, and protected across and beyond the EU. Rooted in the EU Charter of Fundamental Rights, they set out clear responsibilities for organisations to ensure lawful processing, accountability, and transparency.
Privacy and data protection affect every sector. Our latest compliance register helps you understand and meet your compliance obligations.
Download your free checklist to identify and manage your EU data protection requirements.
CREDIT UNIONS AND BUILDING SOCIETIES
UK Credit Unions and Building Societies Checklist
UK Building Societies and Credit Unions are subject to strict standards from regulators such as the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA), requiring strong governance, clear accountability, and a proactive risk management approach.
To meet these expectations, institutions must stay current with evolving regulatory requirements, operational resilience obligations, and conduct rules.
This latest checklist taken from our latest module release, will help you interpret regulatory changes, design effective frameworks, and foster a culture of accountability.
ENVIRONMENT
UK Environment Checklist
Organisations operating in the UK must navigate a complex regulatory landscape to ensure environmental responsibility and legal compliance.
Key regulations govern various aspects of environmental management, from emissions control and waste disposal to biodiversity protection and sustainable resource use. Understanding these obligations is essential for businesses to mitigate risks, maintain operational integrity, and contribute to environmental sustainability.
Download this free UK Environment checklist which will help you identify your obligations related to UK Environment.
EU ASSET MANAGEMENT
EU Asset Management Checklist
The asset management industry in the European Union faces a complex regulatory landscape. Navigating this landscape poses significant challenges for asset managers in terms of compliance, reporting, and operational processes.
Our latest EU Asset Management checklist allows you to identify the compliance obligations for firms operating in the EU asset management industry, including MiFID II, IFR/IFD, UCITS Directive, AIFMD and the ELTIF Regulation.
ESG
Global ESG compliance checklist
One of the most important topics affecting all businesses, globally, is Environmental, Social and Governance (ESG) compliance. Regulators, investors and society at large all increasingly expect businesses to address and report on ESG matters. How well your business handles ESG today, will determine how successful and sustainable it is tomorrow. This complimentary checklist can help you to deliver on your ESG strategy and reporting requirements.
BANKING
Banking and Lending checklist
Over the past 3 years, the Financial Conduct Authority and the Prudential Regulation Authority have handed out over £1 billion in fines to the financial services industry.
The Banking and Lending checklist is designed for organisations operating in the UK banking sector. It provides an overview of the obligations that a CRR bank must consider when establishing and maintaining its banking operations, including the new Consumer Duty as well as the numerous FCA and PRA requirements.
SOLICITORS REGULATION
SOLICITORS REGULATION CHECKLIST
Solicitors in England and Wales are governed by a framework of legal services and solicitors legislation which controls the provision of legal services and restricts the practice of certain legal activities.
The England and Wales Solicitors Regulation Checklist addresses the requirements solicitors and legal firms need in order to demonstrate their commitment to professionalism, accountability and the rule of law, thereby upholding the integrity of the legal profession and protecting clients’ interests.
EU PAYMENTS
EU PAYMENTS CHECKLIST
Payment companies operating in the EU face a complex regulatory landscape, including the revised Payment Services Directive (PSD2) which introduces requirements for strong customer authentication, open banking, and third-party access to payment accounts.
Download your complimentary EU Payments checklist today! It provides a detailed coverage of the EU payment systems regime including the Payment Services Directive 2 (PSD2) and Single Euro Payments Area (SEPA) regulations.
AI
EU AI SYSTEMS CHECKLIST
As organisations increasingly adopt AI systems to drive innovation and efficiency, they face the challenge of ensuring these powerful technologies are used responsibly, while navigating the complex regulatory landscape.
Download this free EU AI systems checklist. This checklist can help you decode the intricacies of the AI regulatory landscape for the EU. It covers topics such as High Risk AI Systems, System Integrity Requirements, Disclosure Requirements, Personal Data Processing and more.
ESG
USING ROBUST GOVERNANCE PRACTICES IN ESG TO STAMP OUT GREENWASHING WEBINAR
ESG – Environment, Social, Governance – is a critical focus for organisations worldwide and across industries. Pressures come from all angles: corporate investors, stakeholders, boards, regulators, employees, customers, partners, and society in general. Organisations have to do something for ESG, and the pressures are mounting.
In this webinar, we will explore how an organisation can maintain its ESG integrity and avoid greenwashing using robust governance practices.
EU AML-CTF
EU AML-CTF Checklist
The European Union (EU) has implemented robust measures aimed at combating money laundering (ML) and the financing of terrorism (FT) within its jurisdiction. These measures are essential for safeguarding financial systems and ensuring national and international security.
Download your complimentary EU AML-CTF compliance checklist which helps you understand the expectations of establishing and maintaining a procedure to detect and deter money laundering and terrorist financing within your organisation.
TAX
UK TAX CHECKLIST
Are you across the significant consequences that organisations face if they are found to have breached or not complied with their tax legal obligations?
Download this free UK Tax compliance checklist. This checklist can help you understand your obligations related to tax legislation in the UK. It covers topics such as Payroll, National Insurance Contributions, Corporation Tax, Climate Change Levy, Bank Levy, Business and Non-Domestic Rates and more.
GRC Partners
We work closely with our GRC partners to integrate LexisNexis Regulatory Compliance directly into your existing GRC / ERM systems via an API. Here are some of our close partners.
Certified Integration Partner
When you see this badge, it means the GRC partner has completed our certification assessment and have fully integrated our solution on their platform.
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