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.
At The Strategic Partner we work with firms 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.
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 email@example.com.
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.
Firm and File Audits
New Law Firm and ABS Applications
Compliance Management Service
Compliance Administration Service
Professional Indemnity & Renewals
Office Manual (inc quality kitemarks)
Drafting and Documents
Training and Development
Partnership & Shareholder Agreements
Succession & Exit
Closure of a Law Firm
Data Protection & GDPR
We provide both packages and individual solutions that directly add value into the firms we work with.
For more information about our Regulation and Compliance service you can call us on 0203 911 9710 or you can email us at firstname.lastname@example.org.