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 bestpractice@legal-eye.co.uk.
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 bestpractice@legal-eye.co.uk.
All prices below are plus VAT.
Ref | Name of document | Cost | Notes |
---|---|---|---|
RISK.PO.SRA.002 | Anti-money laundering policy | ||
RISK.PO.SRA.003 | CFA policy | ||
RISK.PO.SRA.009 | Mortgage fraud policy | ||
RISK.PO.SRA.010 | Source of funds policy | ||
RISK.PO.SRA.011 | CFA statement of compliance | ||
RISK.PR.SRA.004 | Client due diligence procedure | ||
RISK.TEM.SRA.004 | CFA 2017 Firmwide risk assessment | Includes CFA 2017 firmwide risk assessment guidance RISK.GUI.SRA.004 | |
RISK.TEM.SRA.005 | AML Reg 18 firmwide risk assessment | ||
RISK.TEM.SRA.006 | MLR CFA 2017 Matter risk assessment - conveyancing | Includes RISK.TEM.SRA.006/007/008 | |
RISK.TEM.SRA.007 | MLR CFA 2017 Matter risk assessment - transactional (not conveyancing) | ||
RISK.TEM.SRA.008 | MLR CFA 2017 Matter risk assessment - non-transactional | ||
RISK.TEM.SRA.032 | PEP wording for client care pack | ||
RISK.TEM.SRA.033 | CFA suspicious activity register | Includes Word and Excel version | |
RISK.TEM.SRA.034 | CFA suspicious activity internal report form | ||
RISK.TEM.SRA.035 | MLR suspicious activity register | Includes Word and Excel version | |
RISK.TEM.SRA.036 | CFA 2017 Implementation and Communication Plan | ||
RISK.TEM.SRA.038 | Companies House discrepancy reporting register | Includes Word and Excel version | |
RISK.GUI.SRA.003 | CFA outsourcing clause guidance | ||
RISK.GUI.SRA.004 | CFA 2017 firmwide risk assessment guidance | Not sold separately see RISK.TEM.SRA.004 | |
£1,610 | Total cost for individual documents: | ||
Purchase the whole section (20% saving): |
Ref | Name of document | Cost | Notes |
---|---|---|---|
RISK.PO.SRA.006 | Data protection policy | ||
HR.PO.SRA.002 | Privacy policy for employees | ||
RISK.PR.SRA.003 | Data subject access procedure | ||
RISK.TEM.SRA.012 | Data breach register | ||
RISK.TEM.SRA.013 | Data information register | ||
RISK.TEM.SRA.014 | Data protection addendum agreement | ||
RISK.TEM.SRA.015 | Data protection impact assessment template | Including guidance notes: RISK.GUI.SRA.001 | |
RISK.TEM.SRA.016 | DSAR acknowledgement letter | ||
RISK.TEM.SRA.017 | DSAR response letter | ||
RISK.TEM.SRA.018 | Right to restrict processing (acceptance letter) | ||
RISK.TEM.SRA.019 | Right to restrict processing (extension request) | ||
RISK.TEM.SRA.020 | Right to restrict processing (rejection-open file) | ||
RISK.TEM.SRA.021 | Right to restrict processing (rejection-closed file) | ||
RISK.TEM.SRA.022 | Right to object (acceptance letter) | ||
RISK.TEM.SRA.023 | Right to object (extension request) | ||
RISK.TEM.SRA.024 | Right to object (rejection-open file) | ||
RISK.TEM.SRA.025 | Right to object (rejection-closed file) | ||
RISK.TEM.SRA.026 | Right to erasure (acceptance letter) | ||
RISK.TEM.SRA.027 | Right to erasure (extension request) | ||
RISK.TEM.SRA.028 | Right to erasure (rejection-open file) | ||
RISK.TEM.SRA.029 | Right to erasure (rejection-closed file) | ||
RISK.GUI.SRA.001 | Data protection impact assessment guidance notes | Not sold separately: see RISK.TEM.SRA.015 | |
£1,085 | Total cost for individual documents: | ||
Purchase the whole section (20% saving): |
Ref | Name of document | Cost | Notes |
---|---|---|---|
RISK.PO.SRA.001 | Risk management policy | ||
RISK.PO.SRA.004 | Anti-bribery, corruption and fraud policy | ||
RISK.PO.SRA.005 | Conflicts of interest policy | ||
RISK.PO.SRA.007 | Equality, diversity and inclusion policy | ||
RISK.PO.SRA.008 | Statement of SRA compliance | ||
RISK.PO.SRA.012 | Quality policy | ||
RISK.PO.SRA.TBC | Outsourcing policy | ||
RISK.PO.SRA.TBC | Whistleblowing policy | ||
RISK.PR.SRA.002 | Compliance plan | ||
RISK.PR.SRA.001 | Business continuity plan | ||
RISK.PR.SRA.005 | Strategic business plan | ||
RISK.TEM.SRA.001 | Gifts and entertainment register | Including Word and Excel version | |
RISK.TEM.SRA.003 | Risk Register | Including Word and Excel version | |
RISK.TEM.SRA.009 | Declined instructions register | Including Word and Excel version | |
RISK.TEM.SRA.010 | Outsourcing register | Including Word and Excel version | |
RISK.TEM.SRA.011 | Firm and staff interests register | Including Word and Excel version | |
RISK.TEM.SRA.031 | Breach register | ||
RISK.TEM.SRA.037 | Risk evaluation of the strategic business plan template | Includes sample risk evaluation RISK.GUI.SRA.005 | |
RISK.TEM.SRA.038 | Annual risk review meeting minutes - template | Includes sample annual risk review RISK.GUI.SRA.006 | |
RISK.GUI.SRA.002 | Referral introducer agreement guidance | ||
RISK.GUI.SRA.005 | Sample risk evaluation of Strategic business plan | Not sold separately: see RISK.TEM.SRA.037 | |
RISK.GUI.SRA.006 | Sample annual risk review meeting minutes | Not sold separately: see RISK.TEM.SRA.038 | |
£2,525 | Total cost for individual documents: | ||
Purchase the whole section (20% saving): |
Ref | Name of document | Cost | Notes |
---|---|---|---|
CC.PO.SRA.002 | Client care policy | ||
CC.PO.SRA.003 | Vulnerable clients policy | ||
CC.PO.SRA.004 | Privacy policy for clients | ||
CC.PR.SRA.002 | Complaints procedure for clients | ||
CC.PR.SRA.003 | Accepting and declining instructions and ceasing to act procedure | ||
CC.PR.SRA.006 | Price and service transparency procedure | ||
CC.PR.SRA.007 | Internal complaints procedure | ||
CC.TEM.SRA.003 | Client satisfaction survey | ||
CC.TEM.SRA.004 | Complaint response letter - wording | ||
CC.TEM.SRA.005 | Terms of business for clients | ||
CC.TEM.SRA.006 | Wording for website re LeO | ||
CC.TEM.SRA.007 | Complaints register | Including Word version | |
CC.TEM.SRA.008 | Notice of right to cancel | ||
£1,275 | Total cost for individual documents: | ||
Purchase the whole section (20% saving): |
Ref | Name of document | Cost | Notes |
---|---|---|---|
MM.PO.SRA.001 | Undertakings policy | ||
MM.PO.SRA.002 | Experts and counsel policy | ||
MM.PO.SRA.003 | Third party recommendations policy | ||
MM.PR.SRA.001 | Key dates procedure | Sold as a package with 4 x key date checklists (includes litigation, purchase, remortgage and sale checklists). | |
MM.PR.SRA.003 | File opening procedure | ||
MM.PR.SRA.004 | File closing procedure | ||
MM.PR.SRA.005 | File supervision and review procedure | ||
MM.PR.SRA.006 | Time recording procedure | ||
MM.TEM.SRA.001 | High risk matter register | Including Word and Excel version | |
MM.TEM.SRA.002 | Experts and counsel register | Including Word and Excel version | |
MM.TEM.SRA.003 | Undertaking register | Including Word and Excel version | |
MM.TEM.SRA.004 | Third party recommendations register | Including Word and Excel version | |
MM.TEM.SRA.005 | File opening form | ||
MM.TEM.SRA.006 | File closing form | ||
MM.TEM.SRA.007 | File review form | ||
MM.TEM.SRA.008 | File review form on transfer (merger or acquisition) | ||
MM.TEM.SRA.009 | Key dates checklist - Litigation | Not sold separately: see MM.PR.SRA.001 | |
MM.TEM.SRA.010 | Key dates checklist - Purchase | Not sold separately: see MM.PR.SRA.001 | |
MM.TEM.SRA.011 | Key dates checklist - Remortgage | Not sold separately: see MM.PR.SRA.001 | |
MM.TEM.SRA.012 | Key dates checklist - Sale | Not sold separately: see MM.PR.SRA.001 | |
MM.TEM.SRA.014 | File review form - CQS | ||
£1,275 | Total cost for individual documents: | ||
Purchase the whole section (20% saving): | |||
Ref | Name of document | Cost | Notes |
---|---|---|---|
IT.PO.SRA.001 | Information management and security policy | ||
IT.PO.SRA.002 | Cyber security policy | ||
IT.PO.SRA.003 | Social media policy | ||
IT.PO.SRA.004 | Website management policy | ||
IT.PO.SRA.005 | Email and internet use policy | ||
IT.PO.006 | Remote working policy | ||
IT.TEM.SRA.001 | Cyber wording for website | ||
IT.TEM.SRA.002 | Software register | Including Word and Excel version | |
IT.TEM.SRA.003 | Asset register | Including Word and Excel version | |
£800 | Total cost for individual documents: | ||
Purchase the whole section (20% saving): |
Ref | Name of document | Cost | Notes |
---|---|---|---|
FIN.PO.SRA.001 | Interest policy | ||
FIN.PR.SRA.001 | Financial transactions procedures | ||
£290 | Total cost for individual documents: | ||
Purchase the whole section (20% saving): |
Ref | Name of document |
---|---|
RISK.PO.SRA.002 | Anti-money laundering policy |
RISK.PO.SRA.009 | Mortgage fraud policy |
RISK.PO.SRA.010 | Source of funds policy |
RISK.PR.SRA.004 | Client due diligence procedure |
RISK.TEM.SRA.005 | AML Reg 18 firmwide risk assessment |
RISK.TEM.SRA.006 | MLR CFA 2017 Matter risk assessment - conveyancing |
RISK.TEM.SRA.007 | MLR CFA 2017 Matter risk assessment - transactional (not conveyancing) |
RISK.TEM.SRA.008 | MLR CFA 2017 Matter risk assessment - non-transactional |
Section of CQS Standard | Ref | Name of Document |
---|---|---|
RISK.PO.SRA.001 | Risk management policy | |
RISK.PR.SRA.002 | Compliance Plan | |
RISK.TEM.SRA.003 | Risk Register | |
RISK.PO.SRA.002 | Anti-money laundering policy | |
RISK.PR.SRA.004 | Client due diligence (CDD) procedure | |
1 – Risk Management | RISK.PO.SRA.010 | Source of funds and source of wealth policy |
RISK.PO.SRA.009 | Mortgage fraud policy | |
RISK.TEM.SRA.005 | Regulation 18 firmwide risk assessment | |
RISK.TEM.SRA.006 | Matter risk assessment for conveyancing | |
RISK.PO.SRA.003 | CFA policy | |
RISK.TEM.SRA.004 | CFA Firmwide risk assessment (includes guidance) | |
RISK.PO.SRA.004 | Anti-bribery / fraud policy | |
RISK.TEM.SRA.001 | Gifts and entertainment register | |
RISK.PR.SRA.001 | Business Continuity plan | |
2 – Financial Management | FIN.PR.SRA.001 | Financial transactions procedure |
HR.PO.SRA.004 | Supervision policy | |
HR.PO.SRA.001 | Training, learning and development policy | |
HR.TEM.001 | Training request form | |
3 – Supervision and operational risk management | MM.PR.SRA.005 | File review procedure |
MM.TEM.SRA.014 | CQS File review form | |
RISK.TEM.SRA.038 | Annual risk review meeting minutes template (includes sample) | |
RISK.PO.SRA.005 | Conflicts of Interest policy | |
CC.PO.SRA.002 | Client care policy | |
RISK.PO.SRA.008 | Statement of SRA compliance | |
CC.PR.SRA.002 | Complaints procedure – client | |
4 – Client care | CC.PR.SRA.007 | Complaints procedure – internal |
CC.TEM.SRA.004 | Complaints response letter | |
CC.TEM.SRA.007 | Complaints register | |
CC.TEM.SRA.003 | Client satisfaction survey | |
RISK.TEM.SRA.009 | Accepting / declining instructions or ceasing to act procedure | |
CC.PR.SRA.006 | Price and service transparency procedure | |
MM.PR.SRA.003 | File opening procedure | |
MM.TEM.SRA.005 | File opening form | |
5 – File and case management | MM.PR.SRA.001 | Key dates procedure (includes checklists) |
MM.PO.SRA.001 | Undertakings policy | |
MM.TEM.SRA.003 | Undertaking register | |
MM.PR.SRA.004 | File closing procedure | |
MM.TEM.SRA.006 | File closing form | |
RISK.PO.SRA.006 | Data protection policy (please see point 4 in the exclusion section below) | |
RISK.PR.SRA.003 | DSAR procedure | |
6 – Information management | IT.PO.SRA.001 | Information management and security policy |
IT.PO.SRA.002 | Cyber security policy | |
RISK.TEM.SRA.012 | Data breach register |
Ref | Name of document |
---|---|
RISK.PO.SRA.003 | CFA policy |
RISK.PO.SRA.011 | CFA statement of compliance |
RISK.TEM.SRA.004 | CFA 2017 Firmwide risk assessment |
RISK.TEM.SRA.033 | CFA suspicious activity register |
RISK.TEM.SRA.034 | CFA suspicious activity internal report form |
RISK.TEM.SRA.036 | CFA 2017 Implementation and Communication Plan |
RISK.GUI.SRA.003 | CFA outsourcing clause guidance |
RISK.GUI.SRA.004 | CFA 2017 firmwide risk assessment guidance |
Ref | Name of document |
---|---|
RISK.PO.SRA.006 | Data protection policy |
HR.PO.SRA.002 | Privacy policy for employees |
RISK.PR.SRA.003 | Data subject access procedure |
RISK.TEM.SRA.012 | Data breach register |
RISK.TEM.SRA.013 | Data information register |
RISK.TEM.SRA.014 | Data protection addendum agreement |
RISK.TEM.SRA.015 | Data protection impact assessment template |
RISK.TEM.SRA.016 | DSAR acknowledgement letter |
RISK.TEM.SRA.017 | DSAR response letter |
RISK.TEM.SRA.018 | Right to restrict processing (acceptance letter) |
RISK.TEM.SRA.019 | Right to restrict processing (extension request) |
RISK.TEM.SRA.020 | Right to restrict processing (rejection-open file) |
RISK.TEM.SRA.021 | Right to restrict processing (rejection-closed file) |
RISK.TEM.SRA.022 | Right to object (acceptance letter) |
RISK.TEM.SRA.023 | Right to object (extension request) |
RISK.TEM.SRA.024 | Right to object (rejection-open file) |
RISK.TEM.SRA.025 | Right to object (rejection-closed file) |
RISK.TEM.SRA.026 | Right to erasure (acceptance letter) |
RISK.TEM.SRA.027 | Right to erasure (extension request) |
RISK.TEM.SRA.028 | Right to erasure (rejection-open file) |
RISK.TEM.SRA.029 | Right to erasure (rejection-closed file) |
RISK.GUI.SRA.001 | Data protection impact assessment guidance notes |
Ref | Name of document |
---|---|
CC.PR.SRA.002 | Complaints procedure for clients |
CC.PR.SRA.007 | Internal complaints procedure |
CC.TEM.SRA.003 | Client satisfaction survey |
CC.TEM.SRA.004 | Complaint response letter - wording |
CC.TEM.SRA.006 | Wording for website re LeO |
CC.TEM.SRA.007 | Complaints register |
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