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

1. Achieve Compliance

• Conducting initial gap analysis assessments
• Developing detailed compliance plans
• Drafting necessary policies and procedures
• Explaining regulatory requirements to staff

2. Maintain Compliance

• Conducting periodic compliance audits
• Updating policies and procedures as needed
• Providing updates to staff

Contact us for details of how we can help your firm.  There are so many ways we can support!  A few examples of the areas we can help with are:

Anti-Money Laundering (AML) Regulations

• Processes for conducting client due diligence
• Implementing risk assessments
• Maintenance of accurate records
• Creating suitable policies and training

 Data Protection and GDPR

• Creation of privacy notices and policies
• Data breach response plans
• Data protection impact assessments (DPIAs)
• Support with training

SRA Standards and Regulations

• 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