File Reviews and Audits The Strategic Partner

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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compliance newsletter august 21

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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Continuing Competence and Ensuring Compliance

  The Solicitors Regulation Authority (SRA) uses continuing competence and compliance to ensure solicitors can do their jobs to the standard expected of them. Continuing competence focuses on: identifying and reviewing your learning needs undertaking learning to meet your needs [...]
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Partners Insight – July 2021 Newsletter

Partners Insight - July 2021 Newsletter Whilst the recent announcement coming from the Government is a more positive step towards moving out of Covid-19 restrictions, and we have seen a gradual return to the offices, firms will need to remain [...]
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SRA AML Announcement

SRA Announces Fines for Regulatory Breaches

  In news published by the Law Society Gazette this week (23rd June 2021), it highlighted details published by The Solicitors Regulation Authority of fines issued to six firms which took more than a year to comply with new AML [...]
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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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