Bespoke Compliance Consultancy

Compliance is a critical aspect of running a law firm. It’s vital to comply with the legal profession’s rules and regulations to maintain your reputation and avoid negative repercussions.

Our bespoke Consultancy services offer support with reviewing, drafting or re-drafting your compliance or regulatory policies or procedures.

We can work with your business to:

Achieve Compliance

Conducting gap analysis assessments.
Drafting policies and procedures.
Explaining regulatory requirements to staff, or providing bespoke training.
Working with you after an anti-money laundering audit by the SRA, so that any corrective actions are completed to the required standard.

Maintain Compliance

Conducting a Regulation 21 AML audit.
Conducting periodic compliance audits.
Updating policies and procedures as needed.
Providing updates to staff.

How can we help?

We work with firms on a retained basis for ongoing support, or on fixed projects. You can view information on our retainers here. A few examples of areas where we can offer project-based support are:

Anti-Money Laundering (AML) Regulations and Economic Crime

Advising on processes for conducting client due diligence.
Advising on, and assisting with, Firm Wide Risk Assessments.
Advising on Client and Matter Risk Assessments, and providing compliant processes.
Creating compliant compulsory policies, including AML, Sanctions, Anti-Bribery etc.
Support with compulsory training.
Regulation 21 audits.

Data Protection and GDPR

Creation of privacy notices and information security policies.
Data breach response plans, or practical support if a data breach is experienced.
Data protection impact assessments (DPIAs).
Support with training.

SRA Standards and Regulations

Policies, plans, and processes required by the SRA's Standards and Regulations (STaRs).
Review of Client care letters and Terms of Business.
Complaints handling procedures.
Learning and development plans.
Registers and record keeping.