EWJ FEB 59 2025 web - Flipbook - Page 31
appointed. At that stage, the legal advisers will select
and instruct an appropriate expert.
What would you say are top three things your clients
should acknowledge in order to avoid disputes?
1. Keep accurate and timely written records of meetings or phone calls that involve a client or that relate
to a client.
2. Ensure that policies, processes and procedures are
regularly reviewed to ensure they meet current regulatory requirements.
3. Ensure that directors, managers and employees
know and understand what is expected of them and
that they behave accordingly.
Author
Paul Grainger is Chairman of Complyport Limited,
a leading Governance, Risk and Compliance (GRC)
consulting firm in the UK. Complyport specialises in
providing advice and assistance on regulatory and
compliance matters to firms in the financial services
sector.Paul leads Complyport’s Expert Witness,
Special Investigations and S166 Skilled Person
services.
Contact
E: info@complyport.co.uk
W: www.complyport.com/expert-witness T: +44 (0)20 7399 4980
Lime Street, London, EC3M 7AT
EXPERT WITNESS JOURNAL
29
F E B R UA RY 2 0 2 5
