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Firm & File Audits

Undertaking audits is an essential aspect of the supervision programme of a law firm and without effective audits it is difficult for a firm to demonstrate a proactive supervisory programme that highlights and manages risk.

If a law firm does not have an effective audit strategy they will be unable to fully demonstrate active supervision and evidence that the supervision structure is working. In most firms, file reviews and audits are common place as files are reviewed on a continuous bases at various critical points; such as risk reviews, complaints, supervisory guidance etc.

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 Regulation & Compliance brochure by clicking on the link below.

How We Help

We work with firms to identify the activity they undertake and change the approach to such areas to enable the firm to record such reviews and supervisory touch points as audits, to bolster the firms overall audit strategy.

Firm and File Audit Services

The drive for a firm is often not to undertaken file reviews and audits, but to have an effective system to evidence that audits are happening and recording such audits.

At The Strategic Partner we have the internal expertise to provide audits which cover:

  • Anti Money Laundering - systems / processes and their application
  • Risk assessment and the application of risk management
  • Application of the firm’s policies and procedures in accordance with the requirement of the Codes of conduct including COLP and COFA audits
  • Data Protection and GDPR
  • Technical audits
  • Residential Property 
  • Personal Injury 
  • Company & Commercial
  • Debt Recovery
    •  
    • Systems and Databases
    • Accounts and Finances including account processes and managing of office and client monies and transactions.

    A full audit report will be provided as part of each audit undertaken enabling the firm to record the audits and the report in the COLP folder as part of their evidencing of the application of the firms policies and compliance with the SRA Codes of Conduct and other legislation that applies to law firms.

    We provide both packaged and individual solutions that directly add value into the firms we work with. You can download brochures on these services below:

    Additional Compliance Services

    For further details on each of the other compliance services we provide please click on the links below.

    Codes of Conduct inc COLP & COFA   

    Anti-Money Laundering 

    Firm and File Audits

    New Law Firm and ABS Applications 

    Risk Management 

    Complaint Management

    Compliance Management Service

    Compliance Administration Service   

    SRA Investigations

    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.

    Enquiries

    For more information about our Regulation and Compliance services 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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