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Compliance

The burden of compliance weighs heavily on the legal sector, with residential conveyancing particularly being considered a high-risk area of work. Ensuring you have up to date documentation, processes and systems could be a full-time job!

Compliance

Our ongoing compliance support package lets you focus on running your business, whilst we look after all things compliance related including:

• Your office manual and all associate policies ie AML, Equality and Diversity, Anti-Bribery, Vulnerable Clients etc. We'll suggest changes as necessary and ensure you're compliant with the new Code of Conduct.
• We will review and report on your Client care letters, Terms of business, Letterheads, Invoices, Email footers, Website, Professional Indemnity Insurance.
• We'll analyse all your other compliance documentation: Complaints Register, Risk Register, Outsourcing Register, Criminal Finances Act 2017 Suspicious Activity Report Register, Gifts and Entertainment Register, Register of Interests, Declined Instructions Register, Barristers and Experts Register, Recommendation of Third Parties to Clients Register, Undertakings Register, Training Plans, IT Compliance and planning, File & File Opening Checklists, Risk Management Processes / Supervision, Fee Sharing and Referral Agreements, Outsourcing contracts, AML procedures and policies!
• Online compliance training
• Ongoing COLP and COFA support

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To arrange a free, no obligation discussion with one of our consultants please call 01628 771111 or click here.

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