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.
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.
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.
For more information about our Firm & File Audit service you can call us on 0203 911 9710 or you can email us at firstname.lastname@example.org.
At The Strategic Partner we have the internal expertise to provide audits which cover:
Company & Commercial
- 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
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.
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
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 services you can call us on 0203 911
9710 or you can email us at email@example.com.