Policy Store

Welcome to our Policy Store

We’ve drawn on our long experience of preparing policies and precedent documents to support risk and compliance management systems to create an off-the-shelf set of documents for you to use in building your risk and compliance framework.

They will help you to create the structure for a robust compliance system for your firm at a fraction of the cost of researching the documentation yourself and writing a range of documents.

All of our documents are up-to-date and are based on the very best practice in legal services today. Whether you’re missing a single document or you’d like to adopt whole bundles of documents you’ll find a low cost solution amongst our library.

Once you’ve set up your documentation we won’t forget about you either. We’ll alert you via our regular practice updates when there are regulatory changes that may necessitate changes to your systems and supporting documents. We’re known for our speedy updates to documentation following any relevant changes and we’ll work with you to update your documents at a minimal charge.

Should you feel that some assistance in implementing the documentation would be useful we would be happy to help – alternatively the precedents can be used on a standalone basis.

Below you’ll find a library of policies, precedents and helpful documents you’ll need to create or add to a robust risk management framework for your firm.

Legal Eye’s Risk Management Framework is a suite of template documents written to assist firms to comply with their obligations under the SRA Standards and Regulations, Lexcel v6.1 and CQS accreditations as well as relevant legislative requirements, such as anti-money laundering, anti-bribery and data protection regulations. All of our documents are available for download in Microsoft Word/Excel format.

Entire Risk Management Framework

The complete Risk Management Framework can be purchased for £4,962 + VAT, an extra 30% saving.  The cost for this can be spread over 3 months if required. For more information on purchasing the entire framework, please contact [email protected].

The SRA Accounts Rules do not form part of any document templates. The Conveyancing Operational Policies are also not included in the entire Risk Management Framework.

Documentation updates

Our template documents are under regular review – please note, purchase of any of our template documents listed below does not include further updates to documentation which occur after your purchase.

Legal Eye also provides a subscription retainer which includes updates to individual documents purchased as part of any of the bundles.  These updates will include regulatory and best practice changes and will be communicated via email and with the provision of the updated document with tracked changes visible.

Please note, ‘cosmetic’ changes to documents (such as formatting, re-wording, re-ordering and general refreshing of documents) will not be communicated as part of this service. For more information on our subscription packages please contact [email protected].

All prices below are plus VAT.

Name of documentVersion No.Last UpdatedCost
Anti-money laundering policyv16January 2024
CFA policyv2June 2020
Mortgage fraud policyv1June 2020
Source of funds policyv4January 2024
CFA statement of compliancev1January 2020
Client due diligence procedurev13January 2024
CFA 2017 Firmwide risk assessment - Includes CFA 2017 firmwide risk assessment guidancev2June 2020
AML Reg 18 firmwide risk assessmentv11January 2024
MLR CFA 2017 Matter risk assessment - conveyancingv8January 2024
MLR CFA 2017 Matter risk assessment - transactional (not conveyancing)v8January 2024Not sold separately
MLR CFA 2017 Matter risk assessment - non-transactionalv8January 2024Not sold separately
PEP wording for client care packv2January 2020
CFA suspicious activity register - Includes Word and Excel versionv1January 2020
CFA suspicious activity internal report formv1January 2020
MLR suspicious activity register - Includes Word and Excel versionv1February 2020
CFA 2017 Implementation and Communication Planv1June 2020
Companies House discrepancy reporting register - Includes Word and Excel versionv1February 2020
Source of Funds Checklist Formv1October 2022

CFA outsourcing clause guidancev1January 2020
CFA 2017 firmwide risk assessment guidance - Not sold separatelyv1June 2020
Total cost for individual documents:£1,610
Purchase the whole section (20% saving):
Name of documentVersion No.Last UpdatedCost
Data protection policyv3October 2023
Privacy policy for employeesv2September 2019
Privacy Policy for clientsv2April 2019
Data subject access request procedurev2November 2019
Data breach registerv1
Data information registerv1
Data protection addendum agreementv2November 2019
Data protection impact assessment template - Including guidance notesv1
DSAR acknowledgement letterv2November 2019
DSAR response letterv1
Right to restrict processing (acceptance letter)v1
Right to restrict processing (extension request)v1
Right to restrict processing (rejection-open file)v1
Right to restrict processing (rejection-closed file)v1
Right to object (acceptance letter)v1
Right to object (extension request)v1
Right to object (rejection-open file)v1
Right to object (rejection-closed file)v1
Right to erasure (acceptance letter)v1
Right to erasure (extension request)v1
Right to erasure (rejection-open file)v1
Right to erasure (rejection-closed file)v1
Data protection impact assessment guidance notes v1Not sold separately
Total cost for individual documents:£1,085
Purchase the whole section (20% saving):
Name of documentVersion No.Last UpdatedCost
Risk management policyv2November 2019
Anti-bribery, corruption and fraud policyv2November 2019
Conflicts of interest policyv2November 2019
Equality, diversity and inclusion policyv1October 2023
Statement of SRA compliancev1
Quality policyv2November 2019
Outsourcing policyv2February 2020
Whistleblowing policyv1
Compliance planv2March 2020
Business continuity planv2November 2019
Strategic business planv2November 2019
Gifts and entertainment register - Including Word and Excelv2November 2019
Risk Register - Including Word and Excelv2November 2019
Declined instructions register - Including Word and Excel v1
Outsourcing register - Including Word and Excelv1
Firm and staff interests register - Including Word and Excelv1
Breach registerv1
Risk evaluation of the strategic business plan - (Includes sample risk evaluation template)v2February 2020
Annual risk review meeting minutes - template (Includes sample annual risk review)v2February 2020
Referral introducer agreement guidancev1
Sample risk evaluation of Strategic business plan (Not sold separately)v2February 2020
Sample annual risk review meeting minutes - (Not sold separately)v2February 2020
Total cost for individual documents:£2,525
Purchase the whole section (20% saving):
Name of documentVersion No.Last UpdatedCost
Client care policyv2November 2019
Vulnerable clients policyv1
Privacy policy for clientsv2April 2019
Complaints procedure for clientsv3February 2023
Accepting and declining instructions and ceasing to act procedurev3November 2019
Price and service transparency procedurev2November 2019
Internal complaints procedurev2February 2023
Client satisfaction surveyv1
Complaint response letter - wordingv2February 2023
Terms of business for clientsv3February 2023
Wording for website re LeOv2February 2023
Complaints register - (Including Word version)v1
Notice of right to cancelv2November 2019
Total cost for individual documents:£1,275
Purchase the whole section (20% saving):
Name of documentVersion No.Last UpdatedCost
Undertakings policyv2February 2020
Experts and counsel policyv2February 2020
Third party recommendations policyv2February 2020
Key dates procedure - Sold as a package with 4 x key date checklists (includes litigation, purchase, remortgage and sale checklists).v1
File opening procedurev2November 2019
File closing procedurev2November 2019
File supervision and review procedurev3February 2020
Time recording procedurev1
High risk matter register (Including Word and Excel version)v1
Experts and counsel register (Including Word and Excel version)v1
Undertaking register (Including Word and Excel version)v1
Third party recommendations register (Including Word and Excel version)v1
File opening formv3October 2023
File closing formv2February 2020
File review formv3December 2022
File review form on transfer (merger or acquisition)v2February 2020
Key dates checklist - Litigation (Not sold separately)v1
Key dates checklist - Purchase (Not sold separately)v1
Key dates checklist - Remortgage (Not sold separately)v1
Key dates checklist - Sale (Not sold separately)v1
File review form - CQSv3December 2022
Total cost for individual documents:£1,275
Purchase the whole section (20% saving):
Name of documentVersion No. last UpdatedCost
Information management and security policyv2November 2019
Cyber security policyv2February 2023
Social media policyv2November 2019
Website management policyv1
Email and internet use policyv1
Remote working policyv2February 2023
Cyber wording for websitev1
Software register (Including Word and Excel version)v1
Asset register (Including Word and Excel version)v1
Total cost for individual documents: £800
Purchase the whole section (20% saving):
Name of documentVersion No.Last Updated Cost
Interest policyv1
Financial transactions proceduresv2November 2019
Total cost for individual documents:£290
Purchase the whole section (20% saving):
Name of documentVersion No. Last Updated
Anti-money laundering policyv16January 2024
Mortgage fraud policyv1
Source of funds policyv4January 2024
Client due diligence procedurev13January 2024
AML Reg 18 firmwide risk assessmentv11January 2024
MLR CFA 2017 Matter risk assessment - conveyancingv8January 2024
MLR CFA 2017 Matter risk assessment - transactional (not conveyancing)v7January 2024
MLR CFA 2017 Matter risk assessment - non-transactionalv7January 2024
Source of Funds Checklist Formv1October 2022

CQS core documents bundle

Please Note - The CQS is yet to be updated with the latest requirements of the CPMS (released February 2022) We await publication of the Law Society CQS Toolkit before releasing updated policies.

Section of CQS StandardName of Document
Risk management policy
Compliance Plan
Risk Register
Anti-money laundering policy
Client due diligence (CDD) procedure
1 – Risk ManagementSource of funds and source of wealth policy
Mortgage fraud policy
Regulation 18 firmwide risk assessment
Matter risk assessment for conveyancing
CFA policy
CFA Firmwide risk assessment (includes guidance)
Anti-bribery / fraud policy
Gifts and entertainment register
Business Continuity plan
2 – Financial ManagementFinancial transactions procedure
Supervision policy
Training, learning and development policy
Training request form
3 – Supervision and operational risk managementFile review procedure
CQS File review form
Annual risk review meeting minutes template (includes sample)
Conflicts of Interest policy
Client care policy
Statement of SRA compliance
Complaints procedure – client
4 – Client careComplaints procedure – internal
Complaints response letter
Complaints register
Client satisfaction survey
Accepting / declining instructions or ceasing to act procedure
Price and service transparency procedure
File opening procedure
File opening form
5 – File and case management Key dates procedure (includes checklists)
Undertakings policy
Undertaking register
File closing procedure
File closing form
Data protection policy (please see point 4 in the exclusion section below)
DSAR procedure
6 – Information managementInformation management and security policy
Cyber security policy
Data breach register

Exclusions to note

  1. Our template bundles do not include any advice or guidance on the following requirements of the CQS CPMS:
  • Requirement 1.2: Practices must have a policy in relation to Stamp Duty Land Tax (“SDLT”);
  • Requirement 1.5: Practices must have a policy in relation to acting in a purchase of a leasehold property.
  • Requirement 4.5: Practices must have a documented procedure for reporting matters to lenders.

These documents can be purchased separately in the section below .

  1. The SRA Accounts Rules do not form part of this agreement.
  1. This bundle does not include a template to show the structure of the residential conveyancing department at a firm.
  1. The data protection policy template covers the requirements of CQS, however it is the responsibility of the firm to ensure it is compliant with the requirements of the General Data Protection Regulation. Legal Eye can support your firm with this process – please contact us for further information
Name of documentVersion No.Last UpdatedCost
SDLT & LTT Policyv1August 2022
Leasehold Purchase Policyv1August 2022
Reporting to Lenders Policyv1August 2022
Land Registry Requisitions procedurev1August 2022
Total cost for individual documents:£500
Purchase the whole section (20% saving):

CFA core documents bundle

Name of documentVersion No.Last Updated
CFA policyv2January 2020
CFA statement of compliancev1
CFA 2017 Firmwide risk assessmentv1
CFA suspicious activity registerv1
CFA suspicious activity internal report formv1
CFA 2017 Implementation and Communication Planv1
CFA outsourcing clause guidancev1
CFA 2017 firmwide risk assessment guidancev1

GDPR core documents bundle (same contents as section 1B)

Name of documentVersion No.Last Updated
Data protection policyv3October 2023
Privacy policy for employeesv2June 2020
Privacy policy for clientsv2April 2019
Data subject access request procedurev2June 2020
Data breach registerv1
Data information registerv1
Data protection addendum agreementv2June 2020
Data protection impact assessment templatev1
DSAR acknowledgement letterv2June 2020
DSAR response letterv1
Right to restrict processing (acceptance letter)v1
Right to restrict processing (extension request)v1
Right to restrict processing (rejection-open file)v1
Right to restrict processing (rejection-closed file)v1
Right to object (acceptance letter)v1
Right to object (extension request)v1
Right to object (rejection-open file)v1
Right to object (rejection-closed file)v1
Right to erasure (acceptance letter)v1
Right to erasure (extension request)v1
Right to erasure (rejection-open file)v1
Right to erasure (rejection-closed file)v1
Data protection impact assessment guidance notesv2June 2020

Handling Complaints documents bundle

Name of documentVersion No.Last Updated
Complaints procedure for clientsv2June 2020
Internal complaints procedurev1
Client satisfaction surveyv1
Complaint response letter - wordingv1
Wording for website re LeOv1
Complaints registerv1

Suggested list for general practice including conveyancing

Name of documentNotes
Risk management policy
Anti-money laundering policy
CFA policy
Anti-bribery policy
Conflicts of interest policy
Data Protection Policy
Mortgage fraud policy
Source of funds policy
Whistleblowing policy
Privacy policy for clients
Interest policy
Business continuity plan
Client Due Diligence Procedure
Complaints procedure for clients
Accepting and declining instructions and ceasing to act procedure
Price and service transparency procedure
Financial transactions procedure
Risk register
CFA firmwide risk assessment
AML reg 18 risk assessment
MLR CFA 2017 Matter risk assessment - conveyancing
MLR CFA 2017 Matter risk assessment - transactional (not conveyancing)
MLR CFA 2017 Matter risk assessment - non-transactional
Data information register
PEP questions for CDD
Terms of business for clients

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