Providing a useful annual review to help you to decide on a plan for the coming 12 months in managing your firm’s approach to risk and compliance; this independent assessment from Legal Eye helps you to benchmark your systems, policies and processes against peers and to devise a roadmap for future developments.
The review includes:
- Professional indemnity insurance claims data
- Client complaints data
- Client satisfaction survey data
- Data protection breaches and subject access requests
- Financial crime data (including AML, CTF and CFA and SARs)
- File review data
- Matters notified to COLP and COFA
- Serious breaches notified to the SRA
- Non-serious breaches recorded
- Conflict of interest cases where the firm has acted
- Learning and development data
- Current Risk Register
- Current High-Risk Register.
Once we have liaised with you and analysed the data, we will prepare the Annual Risk Review Analysis Report, identifying any trends arising and provide details of any remedial action required, together with an action plan, and suggested amendments for your Risk Register.
The SRA Accounts Rules do not form part of this agreement.
The work may be completed on or off-site to be agreed.