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COMPLIANCE AND REGULATION SERVICE INCLUDING AML

Our Compliance and regulation service is a packaged service providing law firms with a cost effective solution for their firm to achieve and sustain a compliant environment. This service is designed to work in conjunction with your firm providing bespoke compliant policies that integrate into your business only changing what is necessary to introduce best practice and remove non compliant processes.

Although law firms work to a set of rules which brings consistency, each law firm is unique and our service is bespoke to each firm. The importance of a successful compliance strategy is to ensure it is fully adopted by the firm, well communicated to all staff and maintained on an ongoing basis. We will work with the firm and its compliance officers ensuring that every firm we work with complies with all applicable regulation and statute.

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 services brochure by clicking on the link below.

Our Regulation and Compliance Service

Our regulation and compliance service has been designed to interact with you on an ongoing basis to manage all aspects of risk and control within your firm and ensure best practice is adopted firm wide.

Our Risk, Regulation and Compliance service includes: -

  • Implementation and Renewal Review - An initial discussion at the commencement of membership or after any renewal to discuss your approach to regulation and deal with any questions or issues that you feel need to be addressed and to provide guidance on the implementation of a compliance strategy to reduce risk and ensure compliance within your firm.
  • Firm Wide Risk Assessment – a firm wide risk assessment as required by the Anti Money Laundering Regulations and the SRA, to annually assess the risks within the firm and deliver solutions to reduce and manage risk.
  • Helpline - Access to our regulation and compliance helpline which you can call for any questions about compliance or if you have a concern or query relating to the Solicitors Code of Conduct or Solicitors Accounts Rules and their application. In the event you have a visit from the Solicitors Regulation Authority, with or without notice you can call us for advice, guidance and support.
  • Auditing - We will undertake an onsite audit once per annum where we attend your premises and review files and speak to your staff to about the firm's approach to regulation and compliance and identify full implementation of your policies through direct engagement. We will also undertake a remote regulation round up 6 months after the onsite review to establish maintenance of your policies and ensure any actions from the onsite review have been implemented. This will also highlight any continued areas of improvement. Following both audits a report of findings will be delivered to the Partners.
  • News Letter - A regulation newsletter issued every 2 months highlighting key regulation and compliance issues and will include: -
    • Updates to the Code of Conduct or Solicitors Accounts Rules
    • SRA notifications and areas to watch
    • Key tribunal cases
    • General information relevant to regulation and compliance.
  • Training - Provision of annual training on the firms compliance policies and procedures, risk management, data protection and Anti Money Laundering. Through our bespoke training solutions, the firm will achieve its requirement to train all staff on the required aspects to meet regulatory requirements.

Compliance Solutions - The Cost

Our service is priced at £2,500 per annum for non members and £2,200 for members (payable per quarterly).
All prices are subject to VAT.

Enquiry for more information regarding our compliance consulting service:

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.

Download our Law Firm Regulation and Compliance Service brochure here for more information.

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.

* By submitting this form, you consent to receive emails from The Strategic Partner. You can opt out any time, but won't receive Membership benefits anymore.



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