With internal resources stretched like never before, have you ever considered having an independent firm wide review of your risk and compliance obligations?

What’s included?

In one day the Legal Eye team will review a wide variety of risk and compliance areas providing a written report identifying any corrective actions recommended as a result of the audit.

The gap analysis covers:

Company Documentation

• Client Care Documentation and Regulatory Requirements
• Client care letters for each work type
• Terms of Business for each work type
• Letterheads and Facsimile Headings
• Invoices
• Email footers
• Website
• ICO / FCA Registrations
• Professional Indemnity Insurance

Risk Management Framework (Office Manual)

To ensure compliance with the current Code of Conduct.

• AML and Mortgage Freaud
• Equality & Diversity
• Anti-Bribery
• Vulnerable Clients etc

Registers

• Risk Register
• High Risk Register
• Complaints 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

Plans

• Strategic Business Plan
• Business Continuity Plan
• Learning and Development Plan
• Information Technology Plan
• Other Compliance Requirements
• File Checklists / File Opening Forms
• Risk Management Processes / Supervision
• Fee Sharing and Referral Agreements
• Outsourcing
• Training Provision

File Reviews

• A selection of files across work types for each fee earner

Other Compliance Requirements

• File Checklists / File Opening Forms / Risk Management Processes / Supervision
• Fee Sharing and Referral Agreements
• Outsourcing Training Provision

For full details email [email protected] or call 020 3051 2049