Policy and procedure store

Welcome to our Policy Store.

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.

1A. Risk management – Financial Crime

Ref	Name of document	Cost	Notes
RISK.PO.SRA.002	Anti-money laundering policy	£195.00 – Purchase Checkout Added to cart
RISK.PO.SRA.003	CFA policy	£150.00 – Purchase Checkout Added to cart
RISK.PO.SRA.009	Mortgage fraud policy	£150.00 – Purchase Checkout Added to cart
RISK.PO.SRA.010	Source of funds policy	£95.00 – Purchase Checkout Added to cart
RISK.PO.SRA.011	CFA statement of compliance	£25.00 – Purchase Checkout Added to cart
RISK.PR.SRA.004	Client due diligence procedure	£150.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.004	CFA 2017 Firmwide risk assessment	£175.00 – Purchase Checkout Added to cart	Includes CFA 2017 firmwide risk assessment guidance RISK.GUI.SRA.004
RISK.TEM.SRA.005	AML Reg 18 firmwide risk assessment	£175.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.006	MLR CFA 2017 Matter risk assessment - conveyancing	£200.00 – Purchase Checkout Added to cart	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	£50.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.033	CFA suspicious activity register	£25.00 – Purchase Checkout Added to cart	Includes Word and Excel version
RISK.TEM.SRA.034	CFA suspicious activity internal report form	£50.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.035	MLR suspicious activity register	£25.00 – Purchase Checkout Added to cart	Includes Word and Excel version
RISK.TEM.SRA.036	CFA 2017 Implementation and Communication Plan	£95.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.038	Companies House discrepancy reporting register	£25.00 – Purchase Checkout Added to cart	Includes Word and Excel version
RISK.GUI.SRA.003	CFA outsourcing clause guidance	£25.00 – Purchase Checkout Added to cart
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:
		£1,288.00 – Purchase Checkout Added to cart	Purchase the whole section (20% saving):

1B. Risk management – Data Protection

Ref	Name of document	Cost	Notes
RISK.PO.SRA.006	Data protection policy	£195.00 – Purchase Checkout Added to cart
HR.PO.SRA.002	Privacy policy for employees	£175.00 – Purchase Checkout Added to cart
RISK.PR.SRA.003	Data subject access procedure	£95.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.012	Data breach register	£50.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.013	Data information register	£50.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.014	Data protection addendum agreement	£95.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.015	Data protection impact assessment template	£75.00 – Purchase Checkout Added to cart	Including guidance notes: RISK.GUI.SRA.001
RISK.TEM.SRA.016	DSAR acknowledgement letter	£25.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.017	DSAR response letter	£25.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.018	Right to restrict processing (acceptance letter)	£25.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.019	Right to restrict processing (extension request)	£25.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.020	Right to restrict processing (rejection-open file)	£25.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.021	Right to restrict processing (rejection-closed file)	£25.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.022	Right to object (acceptance letter)	£25.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.023	Right to object (extension request)	£25.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.024	Right to object (rejection-open file)	£25.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.025	Right to object (rejection-closed file)	£25.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.026	Right to erasure (acceptance letter)	£25.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.027	Right to erasure (extension request)	£25.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.028	Right to erasure (rejection-open file)	£25.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.029	Right to erasure (rejection-closed file)	£25.00 – Purchase Checkout Added to cart
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:
		£868.00 – Purchase Checkout Added to cart	Purchase the whole section (20% saving):

1C. Risk Managment - Other Risk Management

Ref	Name of document	Cost	Notes
RISK.PO.SRA.001	Risk management policy	£195.00 – Purchase Checkout Added to cart
RISK.PO.SRA.004	Anti-bribery, corruption and fraud policy	£195.00 – Purchase Checkout Added to cart
RISK.PO.SRA.005	Conflicts of interest policy	£195.00 – Purchase Checkout Added to cart
RISK.PO.SRA.007	Equality, diversity and inclusion policy	£195.00 – Purchase Checkout Added to cart
RISK.PO.SRA.008	Statement of SRA compliance	£150.00 – Purchase Checkout Added to cart
RISK.PO.SRA.012	Quality policy	£150.00 – Purchase Checkout Added to cart
RISK.PO.SRA.TBC	Outsourcing policy	£150.00 – Purchase Checkout Added to cart
RISK.PO.SRA.TBC	Whistleblowing policy	£150.00 – Purchase Checkout Added to cart
RISK.PR.SRA.002	Compliance plan	£195.00 – Purchase Checkout Added to cart
RISK.PR.SRA.001	Business continuity plan	£195.00 – Purchase Checkout Added to cart
RISK.PR.SRA.005	Strategic business plan	£195.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.001	Gifts and entertainment register	£25.00 – Purchase Checkout Added to cart	Including Word and Excel version
RISK.TEM.SRA.003	Risk Register	£195.00 – Purchase Checkout Added to cart	Including Word and Excel version
RISK.TEM.SRA.009	Declined instructions register	£25.00 – Purchase Checkout Added to cart	Including Word and Excel version
RISK.TEM.SRA.010	Outsourcing register	£25.00 – Purchase Checkout Added to cart	Including Word and Excel version
RISK.TEM.SRA.011	Firm and staff interests register	£25.00 – Purchase Checkout Added to cart	Including Word and Excel version
RISK.TEM.SRA.031	Breach register	£25.00 – Purchase Checkout Added to cart
RISK.TEM.SRA.037	Risk evaluation of the strategic business plan template	£95.00 – Purchase Checkout Added to cart	Includes sample risk evaluation RISK.GUI.SRA.005
RISK.TEM.SRA.038	Annual risk review meeting minutes - template	£50.00 – Purchase Checkout Added to cart	Includes sample annual risk review RISK.GUI.SRA.006
RISK.GUI.SRA.002	Referral introducer agreement guidance	£95.00 – Purchase Checkout Added to cart
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:
		£2,020.00 – Purchase Checkout Added to cart	Purchase the whole section (20% saving):

2. Client Care

Ref	Name of document	Cost	Notes
CC.PO.SRA.002	Client care policy	£195.00 – Purchase Checkout Added to cart
CC.PO.SRA.003	Vulnerable clients policy	£150.00 – Purchase Checkout Added to cart
CC.PO.SRA.004	Privacy policy for clients	£175.00 – Purchase Checkout Added to cart
CC.PR.SRA.002	Complaints procedure for clients	£95.00 – Purchase Checkout Added to cart
CC.PR.SRA.003	Accepting and declining instructions and ceasing to act procedure	£95.00 – Purchase Checkout Added to cart
CC.PR.SRA.006	Price and service transparency procedure	£95.00 – Purchase Checkout Added to cart
CC.PR.SRA.007	Internal complaints procedure	£95.00 – Purchase Checkout Added to cart
CC.TEM.SRA.003	Client satisfaction survey	£25.00 – Purchase Checkout Added to cart
CC.TEM.SRA.004	Complaint response letter - wording	£25.00 – Purchase Checkout Added to cart
CC.TEM.SRA.005	Terms of business for clients	£250.00 – Purchase Checkout Added to cart
CC.TEM.SRA.006	Wording for website re LeO	£25.00 – Purchase Checkout Added to cart
CC.TEM.SRA.007	Complaints register	£25.00 – Purchase Checkout Added to cart	Including Word version
CC.TEM.SRA.008	Notice of right to cancel	£25.00 – Purchase Checkout Added to cart
		£1,275	Total cost for individual documents:
		£1,020.00 – Purchase Checkout Added to cart	Purchase the whole section (20% saving):

3. Matter Management

Ref	Name of document	Cost	Notes
MM.PO.SRA.001	Undertakings policy	£150.00 – Purchase Checkout Added to cart
MM.PO.SRA.002	Experts and counsel policy	£150.00 – Purchase Checkout Added to cart
MM.PO.SRA.003	Third party recommendations policy	£150.00 – Purchase Checkout Added to cart
MM.PR.SRA.001	Key dates procedure	£95.00 – Purchase Checkout Added to cart	Sold as a package with 4 x key date checklists (includes litigation, purchase, remortgage and sale checklists).
MM.PR.SRA.003	File opening procedure	£95.00 – Purchase Checkout Added to cart
MM.PR.SRA.004	File closing procedure	£95.00 – Purchase Checkout Added to cart
MM.PR.SRA.005	File supervision and review procedure	£95.00 – Purchase Checkout Added to cart
MM.PR.SRA.006	Time recording procedure	£95.00 – Purchase Checkout Added to cart
MM.TEM.SRA.001	High risk matter register	£25.00 – Purchase Checkout Added to cart	Including Word and Excel version
MM.TEM.SRA.002	Experts and counsel register	£25.00 – Purchase Checkout Added to cart	Including Word and Excel version
MM.TEM.SRA.003	Undertaking register	£25.00 – Purchase Checkout Added to cart	Including Word and Excel version
MM.TEM.SRA.004	Third party recommendations register	£25.00 – Purchase Checkout Added to cart	Including Word and Excel version
MM.TEM.SRA.005	File opening form	£50.00 – Purchase Checkout Added to cart
MM.TEM.SRA.006	File closing form	£50.00 – Purchase Checkout Added to cart
MM.TEM.SRA.007	File review form	£50.00 – Purchase Checkout Added to cart
MM.TEM.SRA.008	File review form on transfer (merger or acquisition)	£50.00 – Purchase Checkout Added to cart
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	£50.00 – Purchase Checkout Added to cart
		£1,275	Total cost for individual documents:
		£1,020.00 – Purchase Checkout Added to cart	Purchase the whole section (20% saving):

4. IT

Ref	Name of document	Cost	Notes
IT.PO.SRA.001	Information management and security policy	£195.00 – Purchase Checkout Added to cart
IT.PO.SRA.002	Cyber security policy	£150.00 – Purchase Checkout Added to cart
IT.PO.SRA.003	Social media policy	£95.00 – Purchase Checkout Added to cart
IT.PO.SRA.004	Website management policy	£95.00 – Purchase Checkout Added to cart
IT.PO.SRA.005	Email and internet use policy	£95.00 – Purchase Checkout Added to cart
IT.PO.006	Remote working policy	£95.00 – Purchase Checkout Added to cart
IT.TEM.SRA.001	Cyber wording for website	£25.00 – Purchase Checkout Added to cart
IT.TEM.SRA.002	Software register	£25.00 – Purchase Checkout Added to cart	Including Word and Excel version
IT.TEM.SRA.003	Asset register	£25.00 – Purchase Checkout Added to cart	Including Word and Excel version
		£800	Total cost for individual documents:
		£640.00 – Purchase Checkout Added to cart	Purchase the whole section (20% saving):

5. Finance

Ref	Name of document	Cost	Notes
FIN.PO.SRA.001	Interest policy	£95.00 – Purchase Checkout Added to cart
FIN.PR.SRA.001	Financial transactions procedures	£195.00 – Purchase Checkout Added to cart
		£290	Total cost for individual documents:
		£232.00 – Purchase Checkout Added to cart	Purchase the whole section (20% saving):

6. Document Bundles

Anti-money laundering core documents bundle

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

CQS core documents bundle

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

Exclusions to note

Our template bundles do not include any advice or guidance on the following requirements of the CQS CPMS:

Requirement 1.2: Practices must have a policy in relation to Stamp Duty Land Tax (“SDLT”);
Requirement 1.5: Practices must have a policy in relation to acting in a purchase of a leasehold property.
Requirement 4.5: Practices must have a documented procedure for reporting matters to lenders.

These technical / legal requirements fall outside of the scope of risk and compliance.

The SRA Accounts Rules do not form part of this agreement.

This bundle does not include a template to show the structure of the residential conveyancing department at a firm.

The data protection policy template covers the requirements of CQS under clause 6.1, however it is the responsibility of the firm to ensure it is compliant with the requirements of the General Data Protection Regulation. Legal Eye can support your firm with this process – please contact us for further information

CFA core documents bundle

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

GDPR core documents bundle (same contents as section 1B)

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

Handling Complaints documents bundle

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

Services

Policy and procedure store

Welcome to our Policy Store.

1A. Risk management – Financial Crime

1B. Risk management – Data Protection

1C. Risk Managment - Other Risk Management

2. Client Care

3. Matter Management

4. IT

5. Finance

6. Document Bundles

Anti-money laundering core documents bundle

CQS core documents bundle

Exclusions to note

CFA core documents bundle

GDPR core documents bundle (same contents as section 1B)

Handling Complaints documents bundle

Any Questions?

Services

Policy and procedure store

Welcome to our Policy Store.

Anti-money laundering core documents bundle

CQS core documents bundle

Exclusions to note

CFA core documents bundle

GDPR core documents bundle (same contents as section 1B)

Handling Complaints documents bundle

Other Services

Any Questions?