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Codes of Conduct inc COLP & COFA

Whilst, in the latest version of the Codes of conduct, the Solicitors Regulation Authority (SRA) have simplified the rules, the application of these and ensuring a large firm and its staff operates a fully compliant structure remains a time consuming process.

One of the by products of simplifying rules is that it makes the policing of these much clearer and it remains essential that law firms consider, interpret, and apply the rules without deviation to ensure they achieve a fully compliant status.

Find out more

For more information about our Compliance Services you can call us on 0203 911 9710 or you can email us at info@thestrategicpartner.co.uk. You can also download our marketing services brochure by clicking on the link below.

Our Expertise

At The Strategic Partner we work with firms both globally and in the UK to review, update, manage, maintain and evidence their approach to compliance in a way that ensures the policies and procedures run seamlessly through the firm operating in harmony with the way the firm is managed and services delivered.

Our Compliance Services

A successful compliance structure will enable firms to achieve the goal of being compliant whilst not impacting on the day to day management of the firm and delivery of the services it provides.

To find out more about our Regulation and Compliance services you can call us on 0203 911 9710 or you can email us at info@thestrategicpartner.co.uk.

The Strategic Partner has developed two packaged products which provide firms with a complete service at a competitive price:

- Regulation and compliance including AML

 A service which ensures the firm has and maintains the appropriate policies and procedures to achieve a compliant firm. Included within this service is:

  • Drafting and implementation of effective and bespoke policies dealing with risk, regulation, and statute inc AML
  • Training to all staff on polices, codes of conduct, Anti Money Laundering and Data protection.
  • A firm wide risk assessment for both insurer and AML purposes
  • Auditing of the application of the firm’s policies and procedures to provide evidence of compliance
  • Implementation of notification forms for use by the staff
  • Implementation of registers for recording notifications
  • A compliance helpline 

For further details on our Regulation & Compliance service please click here for a downloadable brochure. 

- Compliance Administration 

A service which enables a firm to outsource the day to day management of compliance including:

  • Receiving all notification forms
  • Updating and managing the central registers
  • Liaising with staff and compliance officer to investigate and resolve entries on the registers
  • Analysing the registers and providing a monthly compliance report to all partners
  • Maintaining an undertakings diary

For further details on our Compliance Administration service please click here for a downloadable brochure. 

Other Compliance Services from The Strategic Partner For more details on each of the services we provide please click on the links below.

Codes of Conduct

Specialist services designed for law firms, to assist with all areas of regulation, inc, COLP & COFA.

Anti-Money Laundering

We will work with your firm to ensure it has a full understanding of the requirements of the AML and related legislation.

Firm and File Audits

We have the expertise to provide firm wide audits and regulation advice across all areas of the practice.

New Law Firm & ABS Applications

We assist individuals and firms with making new law firm and ABS applications for all structure types.

Risk Management

At The Strategic Partner we work with law firms to establish a robust risk management strategy that covers both insurer and regulatory obligations.

Complaint Management

Our complaint management service provides firms with an effective outsource solution that enables complaints to be addressed quickly, with impartiality and resolved in the most effective manner..

Compliance Management

Our services ensure that a firm’s compliance officers can achieve peace of mind knowing that the policies and procedures adopted by the firm ensure the firm is compliant and that it will stay compliant.

Compliance Administration

The Strategic Partners Compliance Administration Service was developed at the request of our member law firms.

SRA Investigations

If your firm expects or has received a notification of investigation or the SRA have arrived at the firm our team are available to assist you.

SRA Interventions

If your firm expects or has received a notification of investigation or the SRA have arrived at the firm our team are available to assist you

Solicitors Disciplinary Tribunal

Whether you have received notification of investigation or the investigation has been concluded and a referral to the Solicitors Disciplinary Tribunal has been made it is advisable to seek expert advice and guidance.

Professional Indemnity Renewal

We work with both the Insurers and law firms providing risk guidance and risk reviews that are used for the purpose of the insurers considering the risk and premiums and in more serious cases whether to offer renewal terms.

Office Procedures Manual

We work with firms to create and maintain their office manuals, including firms with or without Lexcel and other quality kitemarks such as CQS, WIQS and legal aid franchises.

Procedure & Documents Drafting

At the Strategic Partner we work with firms to ensure they have documentation that is bespoke to them and reflects what they do in practice.

Training & Development

The Strategic Partner have developed training which can be delivered to firms and their staff to ensure there is a full and thorough understanding of the issues that firms face when managing risk and compliance and what their role is.

Partnership & Shareholder Agreements

We can assist with drafting and agreeing new partnership and shareholder agreements, reviewing and renewing existing agreements and partner and director disputes.

Succession & Exit Plans

The Strategic Partner can work with firms to develop succession and exit plans that achieve the goals of the current partners, further develop training and mentoring of future the Partners.

Orderly Closure of Law Firms

The strategic Partner works with firms to ensure that closure is undertaken on an orderly basis and where that is simply not possible due to sudden or financial issues, we will work with the firm to minimise negative impact wherever possible.

Data Protection & GDPR

Due to the nature of how law firms operate, the management, control and protection of data is an essential element of a firm compliance and regulation strategy.

Membership

Our membership provides firms with a range of benefits, discounts, updates and interaction all focussed on bringing value to your firm.

We provide both packages and individual solutions that directly add value into the firms we work with.

Enquiries

For more information about our Regulation and Compliance service you can call us on 0203 911 9710 or you can email us at info@thestrategicpartner.co.uk.

 

Let's talk about how we can help

Get in touch - call us on 0203 911 9710 or complete the form.
Tell us what you need or ask us a question, we'd love to discuss your business.

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