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Establishing Effective File Reviews and Audits

In this article, we seek to provide firms with an insight into how they can manage or adopt their file review/auditing strategy. Additionally, how firms can effectively direct resource and, importantly, review what is important with a significant diversion of supervisors’ time and meets the requirements of the regulator and Insurers.

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The Compliance Partner August 2021

In the latest issue of “The Compliance Partner” our compliance and regulation newsletter, we look at some of the most recent events regarding risk, regulation and compliance affecting the legal industry.

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The Importance of Independent Auditing

  Introduction  Auditing has long been a requirement of law firms, and although necessary as part of the AML regulations and quality standards such as Lexcel, CQS and SQM, it is too often the case that firms struggle to keep [...]
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