Here you’ll find a library of policies, precedents and helpful documents you’ll need to create or add to a robust risk management framework for your firm.
Legal Eye’s Risk Management Framework is a suite of template documents written to assist firms to comply with their obligations under the SRA Standards and Regulations, Lexcel v6.1 and CQS accreditations as well as relevant legislative requirements, such as anti-money laundering, anti-bribery and data protection regulations. All of our documents are available for download in Microsoft Word/Excel format.
Entire Risk Management Framework
The complete Risk Management Framework can be purchased for £4,962 + VAT, an extra 30% saving. The cost for this can be spread over 3 months if required. For more information on purchasing the entire framework, please contact [email protected].
The SRA Accounts Rules do not form part of any document templates.
Documentation updates
Our template documents are under regular review – please note, purchase of any of our template documents listed below does not include further updates to documentation which occur after your purchase.
Legal Eye also provides a subscription retainer which includes updates to individual documents purchased as part of any of the bundles. These updates will include regulatory and best practice changes and will be communicated via email and with the provision of the updated document with tracked changes visible.
Please note, ‘cosmetic’ changes to documents (such as formatting, re-wording, re-ordering and general refreshing of documents) will not be communicated as part of this service. For more information on our subscription packages please contact [email protected].
All prices below are plus VAT.
Name of document | Version No. | Last Updated | Cost |
---|---|---|---|
Anti-money laundering policy | v11 | March 2022 | |
CFA policy | v2 | June 2020 | |
Mortgage fraud policy | v1 | June 2020 | |
Source of funds policy | v2 | March 2021 | |
CFA statement of compliance | v1 | January 2020 | |
Client due diligence procedure | v8 | February 2022 | |
CFA 2017 Firmwide risk assessment - Includes CFA 2017 firmwide risk assessment guidance | v2 | June 2020 | |
AML Reg 18 firmwide risk assessment | v7 | February 2022 | |
MLR CFA 2017 Matter risk assessment - conveyancing | v5 | March 2021 | |
MLR CFA 2017 Matter risk assessment - transactional (not conveyancing) | v5 | March 2021 | Not sold separately |
MLR CFA 2017 Matter risk assessment - non-transactional | v5 | March 2021 | Not sold separately |
PEP wording for client care pack | v2 | January 2020 | |
CFA suspicious activity register - Includes Word and Excel version | v1 | January 2020 | |
CFA suspicious activity internal report form | v1 | January 2020 | |
MLR suspicious activity register - Includes Word and Excel version | v1 | February 2020 | |
CFA 2017 Implementation and Communication Plan | v1 | June 2020 | |
Companies House discrepancy reporting register - Includes Word and Excel version | v1 | February 2020 | |
CFA outsourcing clause guidance | v1 | January 2020 | |
CFA 2017 firmwide risk assessment guidance - Not sold separately | v1 | June 2020 | |
Total cost for individual documents: | £1,610 | ||
Purchase the whole section (20% saving): |
Name of document | Version No. | Last Updated | Cost |
---|---|---|---|
Data protection policy | v2 | November 2019 | |
Privacy policy for employees | v2 | September 2019 | |
Privacy Policy for clients | v2 | April 2019 | |
Data subject access request procedure | v2 | November 2019 | |
Data breach register | v1 | ||
Data information register | v1 | ||
Data protection addendum agreement | v2 | November 2019 | |
Data protection impact assessment template - Including guidance notes | v1 | ||
DSAR acknowledgement letter | v2 | November 2019 | |
DSAR response letter | v1 | ||
Right to restrict processing (acceptance letter) | v1 | ||
Right to restrict processing (extension request) | v1 | ||
Right to restrict processing (rejection-open file) | v1 | ||
Right to restrict processing (rejection-closed file) | v1 | ||
Right to object (acceptance letter) | v1 | ||
Right to object (extension request) | v1 | ||
Right to object (rejection-open file) | v1 | ||
Right to object (rejection-closed file) | v1 | ||
Right to erasure (acceptance letter) | v1 | ||
Right to erasure (extension request) | v1 | ||
Right to erasure (rejection-open file) | v1 | ||
Right to erasure (rejection-closed file) | v1 | ||
Data protection impact assessment guidance notes | v1 | Not sold separately | |
Total cost for individual documents: | £1,085 | ||
Purchase the whole section (20% saving): |
Name of document | Version No. | Last Updated | Cost |
---|---|---|---|
Risk management policy | v2 | November 2019 | |
Anti-bribery, corruption and fraud policy | v2 | November 2019 | |
Conflicts of interest policy | v2 | November 2019 | |
Equality, diversity and inclusion policy | v1 | ||
Statement of SRA compliance | v1 | ||
Quality policy | v2 | November 2019 | |
Outsourcing policy | v2 | February 2020 | |
Whistleblowing policy | v1 | ||
Compliance plan | v2 | March 2020 | |
Business continuity plan | v2 | November 2019 | |
Strategic business plan | v2 | November 2019 | |
Gifts and entertainment register - Including Word and Excel | v2 | November 2019 | |
Risk Register - Including Word and Excel | v2 | November 2019 | |
Declined instructions register - Including Word and Excel | v1 | ||
Outsourcing register - Including Word and Excel | v1 | ||
Firm and staff interests register - Including Word and Excel | v1 | ||
Breach register | v1 | ||
Risk evaluation of the strategic business plan - (Includes sample risk evaluation template) | v2 | February 2020 | |
Annual risk review meeting minutes - template (Includes sample annual risk review) | v2 | February 2020 | |
Referral introducer agreement guidance | v1 | ||
Sample risk evaluation of Strategic business plan (Not sold separately) | v2 | February 2020 | |
Sample annual risk review meeting minutes - (Not sold separately) | v2 | February 2020 | |
Total cost for individual documents: | £2,525 | ||
Purchase the whole section (20% saving): |
Name of document | Version No. | Last Updated | Cost |
---|---|---|---|
Client care policy | v2 | November 2019 | |
Vulnerable clients policy | v1 | ||
Privacy policy for clients | v2 | April 2019 | |
Complaints procedure for clients | v1 | ||
Accepting and declining instructions and ceasing to act procedure | v3 | November 2019 | |
Price and service transparency procedure | v2 | November 2019 | |
Internal complaints procedure | v1 | ||
Client satisfaction survey | v1 | ||
Complaint response letter - wording | v1 | ||
Terms of business for clients | v2 | September 2021 | |
Wording for website re LeO | v1 | ||
Complaints register - (Including Word version) | v1 | ||
Notice of right to cancel | v2 | November 2019 | |
Total cost for individual documents: | £1,275 | ||
Purchase the whole section (20% saving): |
Name of document | Version No. | Last Updated | Cost |
---|---|---|---|
Undertakings policy | v2 | February 2020 | |
Experts and counsel policy | v2 | February 2020 | |
Third party recommendations policy | v2 | February 2020 | |
Key dates procedure - Sold as a package with 4 x key date checklists (includes litigation, purchase, remortgage and sale checklists). | v1 | ||
File opening procedure | v2 | November 2019 | |
File closing procedure | v2 | November 2019 | |
File supervision and review procedure | v3 | February 2020 | |
Time recording procedure | v1 | ||
High risk matter register (Including Word and Excel version) | v1 | ||
Experts and counsel register (Including Word and Excel version) | v1 | ||
Undertaking register (Including Word and Excel version) | v1 | ||
Third party recommendations register (Including Word and Excel version) | v1 | ||
File opening form | v2 | February 2020 | |
File closing form | v2 | February 2020 | |
File review form | v2 | February 2020 | |
File review form on transfer (merger or acquisition) | v2 | February 2020 | |
Key dates checklist - Litigation (Not sold separately) | v1 | ||
Key dates checklist - Purchase (Not sold separately) | v1 | ||
Key dates checklist - Remortgage (Not sold separately) | v1 | ||
Key dates checklist - Sale (Not sold separately) | v1 | ||
File review form - CQS | v2 | February 2020 | |
Total cost for individual documents: | £1,275 | ||
Purchase the whole section (20% saving): | |||
Name of document | Version No. | last Updated | Cost |
---|---|---|---|
Information management and security policy | v2 | November 2019 | |
Cyber security policy | v1 | ||
Social media policy | v2 | November 2019 | |
Website management policy | v1 | ||
Email and internet use policy | v1 | ||
Remote working policy | v1 | ||
Cyber wording for website | v1 | ||
Software register (Including Word and Excel version) | v1 | ||
Asset register (Including Word and Excel version) | v1 | ||
Total cost for individual documents: | £800 | ||
Purchase the whole section (20% saving): |
Name of document | Version No. | Last Updated | Cost |
---|---|---|---|
Interest policy | v1 | ||
Financial transactions procedures | v2 | November 2019 | |
Total cost for individual documents: | £290 | ||
Purchase the whole section (20% saving): |
Name of document | Version No. | Last Updated |
---|---|---|
Anti-money laundering policy | v11 | March 2022 |
Mortgage fraud policy | v1 | |
Source of funds policy | v2 | March 2021 |
Client due diligence procedure | v8 | February 2022 |
AML Reg 18 firmwide risk assessment | v7 | February 2022 |
MLR CFA 2017 Matter risk assessment - conveyancing | v5 | March 2021 |
MLR CFA 2017 Matter risk assessment - transactional (not conveyancing) | v5 | March 2021 |
MLR CFA 2017 Matter risk assessment - non-transactional | v5 | March 2021 |
Please Note - The CQS is yet to be updated with the latest requirements of the CPMS (released February 2022) We await publication of the Law Society CQS Toolkit before releasing updated policies.
Section of CQS Standard | Name of Document |
---|---|
Risk management policy | |
Compliance Plan | |
Risk Register | |
Anti-money laundering policy | |
Client due diligence (CDD) procedure | |
1 – Risk Management | Source of funds and source of wealth policy |
Mortgage fraud policy | |
Regulation 18 firmwide risk assessment | |
Matter risk assessment for conveyancing | |
CFA policy | |
CFA Firmwide risk assessment (includes guidance) | |
Anti-bribery / fraud policy | |
Gifts and entertainment register | |
Business Continuity plan | |
2 – Financial Management | Financial transactions procedure |
Supervision policy | |
Training, learning and development policy | |
Training request form | |
3 – Supervision and operational risk management | File review procedure |
CQS File review form | |
Annual risk review meeting minutes template (includes sample) | |
Conflicts of Interest policy | |
Client care policy | |
Statement of SRA compliance | |
Complaints procedure – client | |
4 – Client care | Complaints procedure – internal |
Complaints response letter | |
Complaints register | |
Client satisfaction survey | |
Accepting / declining instructions or ceasing to act procedure | |
Price and service transparency procedure | |
File opening procedure | |
File opening form | |
5 – File and case management | Key dates procedure (includes checklists) |
Undertakings policy | |
Undertaking register | |
File closing procedure | |
File closing form | |
Data protection policy (please see point 4 in the exclusion section below) | |
DSAR procedure | |
6 – Information management | Information management and security policy |
Cyber security policy | |
Data breach register |
Name of document | Version No. | Last Updated |
---|---|---|
CFA policy | v2 | January 2020 |
CFA statement of compliance | v1 | |
CFA 2017 Firmwide risk assessment | v1 | |
CFA suspicious activity register | v1 | |
CFA suspicious activity internal report form | v1 | |
CFA 2017 Implementation and Communication Plan | v1 | |
CFA outsourcing clause guidance | v1 | |
CFA 2017 firmwide risk assessment guidance | v1 | |
Name of document | Version No. | Last Updated |
---|---|---|
Data protection policy | v2 | June 2020 |
Privacy policy for employees | v2 | June 2020 |
Privacy policy for clients | v2 | April 2019 |
Data subject access request procedure | v2 | June 2020 |
Data breach register | v1 | |
Data information register | v1 | |
Data protection addendum agreement | v2 | June 2020 |
Data protection impact assessment template | v1 | |
DSAR acknowledgement letter | v2 | June 2020 |
DSAR response letter | v1 | |
Right to restrict processing (acceptance letter) | v1 | |
Right to restrict processing (extension request) | v1 | |
Right to restrict processing (rejection-open file) | v1 | |
Right to restrict processing (rejection-closed file) | v1 | |
Right to object (acceptance letter) | v1 | |
Right to object (extension request) | v1 | |
Right to object (rejection-open file) | v1 | |
Right to object (rejection-closed file) | v1 | |
Right to erasure (acceptance letter) | v1 | |
Right to erasure (extension request) | v1 | |
Right to erasure (rejection-open file) | v1 | |
Right to erasure (rejection-closed file) | v1 | |
Data protection impact assessment guidance notes | v2 | June 2020 |
Name of document | Version No. | Last Updated |
---|---|---|
Complaints procedure for clients | v2 | June 2020 |
Internal complaints procedure | v1 | |
Client satisfaction survey | v1 | |
Complaint response letter - wording | v1 | |
Wording for website re LeO | v1 | |
Complaints register | v1 | |
Name of document | Notes |
---|---|
Risk management policy | |
Anti-money laundering policy | |
CFA policy | |
Anti-bribery policy | |
Conflicts of interest policy | |
Data Protection Policy | |
Mortgage fraud policy | |
Source of funds policy | |
Whistleblowing policy | |
Privacy policy for clients | |
Interest policy | |
Business continuity plan | |
Client Due Diligence Procedure | |
Complaints procedure for clients | |
Accepting and declining instructions and ceasing to act procedure | |
Price and service transparency procedure | |
Financial transactions procedure | |
Risk register | |
CFA firmwide risk assessment | |
AML reg 18 risk assessment | |
MLR CFA 2017 Matter risk assessment - conveyancing | |
MLR CFA 2017 Matter risk assessment - transactional (not conveyancing) | |
MLR CFA 2017 Matter risk assessment - non-transactional | |
Data information register | |
PEP questions for CDD | |
Terms of business for clients |
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