Compliance

One of the many challenges facing law firms is the on-going battle to ensure they remain compliant with the Regulator.

Compliance is  a mandatory part of being a lawyer and we want to help you raise and exceed the levels of compliance expected by the SRA.

Starting with an audit and gap analysis report, we can help you establish a compliance action plan and then implement it.

If required you will receive a complete compliance handbook, which includes policies, procedures and precedents, that can be tailored to suit any size or type legal practice.

Other areas where you can expect support:

  • Help to achieve the following quality standards: Lexcel, Investors in People, Conveyancing Quality Scheme, Specialist Quality Mark, as well as the SRA Code of Conduct
  • Client file audits
  • Establishment and maintaining of central registers for risk and compliance
  • Training for Compliance Officers
  • Training for your staff on their obligations to the business and to the SRA including: anti money laundering, Bribery Act and corruption, mortgage and property fraud, equality and diversity, conflicts of interest, confidentiality and disclosure, data security and protection, complaints and claims handling, undertakings, and risk management
  • Preparing and presenting full Board level reports on Risk and Compliance
  • Chairing risk management meetings
  • On-going remote or on-site support, advice and assistance for risk and compliance matters

To find out how we can help your firm to remain compliant or for an informal conversation please contact us.