Compliance is a critical aspect of law firm operations, ensuring adherence to statutory and regulatory requirements. It’s vital to comply with the profession’s rules and regulations to maintain your reputation and avoid legal repercussions. We can offer invaluable support in achieving, maintaining, and enhancing existing compliance provisions.

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

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

2. Maintain Compliance

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

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

 Data Protection and GDPR

• Data processing policies
• Client consent forms
• Data breach response plans
• Data protection impact assessments (DPIAs)

SRA Standards and Regulations

• Plans and processes required by the Codes of Conduct and the Solicitors’ Accounts Rules
• Reviewing Client care letters
• Complaints handling procedures
• Learning and development plans