Codes of Conduct

The SRA Codes of Conduct and the SRA Accounts rules alongside the SRA principles provide the requirements and expectations of law firms to run and manage a compliant firm.

The approach adopted by a firm must be documented and must be evidenced through a series of policies, procedures, and registers which reflect how a firm operates. Delivering a bespoke documented process is an absolute requirement.

The Strategic Partner works with firms to provide a complete package of documents processes and policies which ensure a firm achieves a compliant environment that is communicated to all staff and evidenced through appropriate reporting mechanisms.

Find Out More

For more information about our Codes & Conduct service you can call us on 0203 911 9710 or you can email us at info@thestrategicpartner.co.uk. You can also download our Compliance & Regulation Service brochure by clicking on the link below.

Codes of Conduct – The Detail

Whilst, in the latest version of the Codes of conduct, the Solicitors Regulation Authority (SRA) has simplified the rules, the application of these and ensuring a large firm and its staff operate a fully compliant structure remains a time-consuming process.

One of the by-products of simplifying rules is that it makes the policing of these much clearer and it remains essential that law firms consider, interpret, and apply the rules without deviation to ensure they achieve a fully compliant status.

At The Strategic Partner, we work with firms to review, update, manage, maintain and evidence their approach to compliance in a way that ensures the policies and procedures run seamlessly through the firm operating in harmony with the way the firm is managed and services delivered.

A successful compliance structure will enable firms to achieve the goal of being compliant whilst not impacting on the day to day management of the firm and delivery of the services it provides.

To find out more about our Regulation and Compliance services you can call us on 0203 911 9710 or you can email us at info@thestrategicpartner.co.uk.

The Strategic Partner has developed two packaged products that provide firms with a complete service at a competitive price:

Regulation and compliance including AML

A service that ensures the firm has and maintains the appropriate policies and procedures to achieve a compliant firm. Included within this service is:

  • Drafting and implementation of effective and bespoke policies dealing with risk, regulation, and statute inc AML
  • Training to all staff on policies, codes of conduct, Anti Money Laundering, and Data protection.
  • A firm-wide risk assessment for both insurer and AML purposes
  • Auditing of the application of the firm’s policies and procedures to provide evidence of compliance
  • Implementation of notification forms for use by the staff
  • Implementation of registers for recording notifications
  • A compliance helpline

For further details on our Regulation & Compliance service please click here for a downloadable brochure.

Compliance Administration

A service that enables a firm to outsource the day to day management of compliance including:

  • Receiving all notification forms
  • Updating and managing the central registers
  • Liaising with staff and compliance officer to investigate and resolve entries on the registers
  • Analysing the registers and providing a monthly compliance report to all partners
  • Maintaining an undertakings diary

For further details on our Compliance Administration service please click here for a downloadable brochure.

Enquiries

For more information about our Codes of Conduct service you can call us on 0203 911 9710 or you can email us at info@thestrategicpartner.co.uk.

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