Subject Resource Hub

Compliance & Regulation

Compliance is a fundamental aspect of a governance professional’s role, ensuring that an organization operates within legal and regulatory frameworks. It involves monitoring, advising, and implementing policies to align with laws, industry standards, and ethical practices.

By maintaining a strong compliance framework, governance professionals help protect an organization from legal penalties, reputational damage, and operational risks. Their role is crucial in fostering accountability and ethical business practices.

Are you looking for resources to strengthen your Compliance & Regulation knowledge?

Bespoke training to achieve your organisational goals

Collaborate with our highly experienced, practitioner-led faculty to develop a programme unique to your organisational needs: utilising their knowledge working with numerous organisations, combined with their academic and professional boardroom experience. Contact us for a free consultation.

Featured

CGI UK&I Modern Governance
Training Course

The Role of the Company Secretary - Part One

Learn how to in tackle the governance responsibilities of a Company Secretary.
Company secretarial practice
Professional development
Training Course
CPD
Virtual Training
Factsheets

UK Corporate Governance Code 2024

Finance
CGI UK&I Practical Skills
Training Course

Document Retention: Getting it Right

A practical, one-day course for anyone responsible for the management of corporate documents.
Law, regulation and compliance
Professional development
Training Course
CPD
Virtual Training
CGI UK&I Gnsector Card Corporate 1292X625px
Guidance Note

Directors' general duties under the Companies Act 2006

This guidance has been produced primarily for quoted public companies that are looking to provide directors with practical guidance on their general duties under the Companies Act 2006 (the Act).
1 May 2022
Guidance Note
Corporate
Law, regulation and compliance
CGI UK&I Gnsector Card Corporate 1292X625px
Guidance Note

Execution of acceptances during an offer period

Rule 10.1 of the Takeover Code (the Code) and the associated notes consider the execution of acceptances during an offer and refer to the guidance published by the Institute.
1 July 2021
Guidance Note
Corporate
Law, regulation and compliance
CGI UK&I Gnsector Card Corporate 1292X625px
Guidance Note

Shareholder meetings under the Corporate Insolvency and Governance Act 2020

Updated guidance on shareholder meetings during the COVID-19 pandemic to reflect changes to the Corporate Insolvency and Governance Act.
1 July 2020
Guidance Note
Corporate
Law, regulation and compliance
Law Review Blog Hero
Blog

The Company Law Review Group

The Company Law Review Group is an expert advisory body charged with advising the Minister for Enterprise, Tourism and Employment on the review and development of company law in Ireland. It was accorded statutory advisory status by the Company Law Enforcement Act 2001, which was continued under Section 958 of the Companies Act 2014. The CLRG operates on a two-year work programme which is determined by the Minister in consultation with the CLRG.
20 March 2025
Blog
Corporate
Irish Region
Law, regulation and compliance
Board Composition Blog Hero
Blog

How do you design the composition of your board?

Loretto Leavy and Ruth Sealy from the University of Exeter Business School help us understand better behavioural dynamics on boards and how behavioural dynamics processes can drive positive change. This article highlights how to design the composition of your board.
18 November 2024
Blog
Corporate
Boards and committees
Law, regulation and compliance
Diversity, equity and inclusion
Team Discussion Blog Hero
Blog

A new Era for Corporate Governance in the UK

The Economic Crime and Corporate Transparency Act 2023 (ECCTA) marks a significant milestone in the UK’s efforts to combat economic crime and enhance corporate transparency.
12 November 2024
Blog
Corporate
Law, regulation and compliance
Companies House

Technical Briefings

Technical Briefing

Companies House stakeholder newsletter

Companies House published two stakeholder newsletters in December.
3 January 2024
Technical Briefing
Law, regulation and compliance
Technical Briefing

Government withdrawal of draft new reporting regulations

On 16 October, the UK government announced it had withdrawn the draft Companies (Strategic Report and Directors’ Report) (Amendment) Regulations 2023, which were laid in Parliament on 19 July.
2 November 2023
Technical Briefing
Law, regulation and compliance
Technical Briefing

UK Corporate Governance Code – consultation: The CGIUKI response

As mentioned in previous Technical Briefings, on 24 May, the Financial Reporting Council published its long anticipated consultation on the UK Corporate Governance Code, the intention of which is to focus on the legislative and governance reforms that the Government proposed in its May 2022 white paper “Restoring trust in audit and corporate governance”. These are designed, amongst other things, to “support the FRC’s transition into the Audit, Reporting and Governance Authority (ARGA).”
20 September 2023
Technical Briefing
Law, regulation and compliance

Recorded Webinars

Economic Crime Webinar
Recorded Webinar

Companies House Reforms – the Economic Crime and Corporate Transparency Act 2023

The implementation of the Economic Crime and Corporate Transparency Act meant sudden changes to working practices for company registration.
21 February 2024
Recorded Webinar
Law, regulation and compliance
Boards and committees
Corporate
Notary Stamping Contract
Recorded Webinar

Notaries – What they do and what you should look out for when choosing one

In this webinar our panel of experienced notaries and governance professionals discussed the role and benefits of notaries, and how to minimise risk in your organisation
24 January 2024
Recorded Webinar
Audit and risk
Law, regulation and compliance
Cross sector
Ai Tech Hero 620X300
Recorded Webinar

Good Governance Driven by Data: The Answer to Surviving Business Shocks?

In the past two years, businesses have dealt with a series of shocks. The pandemic hit at an est. cost of £134bn to UK businesses.
24 May 2023
Recorded Webinar
Technology and AI
Law, regulation and compliance
Boards and committees
Corporate
Verification 300
Podcast

Episode 13 - Verification: how to avoid making misleading statements

In this podcast Patrick Skinner, General Manager for UK and Europe at Atticus, discusses the importance of the verification process in ensuring that statements included in regulated documents such as annual reports aren’t misleading. Patrick highlights relevant regulatory considerations and discusses the risk of shareholder activism and reputational damage associated with making misleading statements. He also considers verification in the context of greenwashing risk and TCFD disclosure. He argues that automating verification can help combat the risk of human error in what can sometimes be a repetitive and tedious process.
Podcast
Leadership
Boardroom Dynamics
IPO Podcast Hero
Podcast

Episode 7 - Understanding IPO governance

In this podcast Kerry Round, Founding Director of Round Governance Services, outlines how the governance of a company will change following an Initial Public Offering (IPO). She covers board structure, responsibilities, composition, and the need for board diversity. The discussion outlines how an IPO will affect important stakeholders such as employees, the policies the company will need to have in place, what disclosures will be required, and which external bodies the company secretary or governance professional will find themselves dealing with on a regular basis. Kerry describes an IPO as a career highlight and the role of the company secretary or governance professional in a listed company as fabulous.
Podcast
Leadership
Boardroom Dynamics
Eg Ep19 Side
Podcast

Episode 19 - ESG Reporting: Where to next?

In this podcast Daniel Roach, Senior Technical Lead at Company Matters, discusses the latest developments in ESG reporting.
Podcast
Leadership
Boardroom Dynamics
ESG

Other Topics

Risk Web Hero
Subject Resource Hub

Risk Management

What impact would it make if your team spent less time firefighting risk, regulatory and compliance issues? We are here to help you mitigate the effects of risk by providing you with the training and resources you need to identify and plan for potential issues, as well as keeping you informed on the latest developments.
Audit and risk
Risk Management
Ai Web Hero
Subject Resource Hub

Artificial Intelligence

For governance professionals, artificial intelligence offers opportunities that will shape the way their organisations work, from automation of repetitive tasks and data aggregation to drafting documents and supporting recruitment. It comes with just as many threats.
Technology and AI
AI
B C Web Hero
Subject Resource Hub

Boards & Committees

While day-to-day management of the company is delegated to executives, the board retains ultimate responsibility and oversees the performance of the executives, promotes effective decision-making, enhances stakeholder relations, and supports the company’s strategic goals.
Boards and committees
Boardroom Dynamics
Board Evaluation
Board Reporting
Chairing