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

Name of document	Version No.	Last Updated	Cost
Anti-money laundering policy	v7	March 2021	£195.00 – Purchase Checkout Added to cart
CFA policy	v2	June 2020	£150.00 – Purchase Checkout Added to cart
Mortgage fraud policy	v1	June 2020	£150.00 – Purchase Checkout Added to cart
Source of funds policy	v2	March 2021	£95.00 – Purchase Checkout Added to cart
CFA statement of compliance	v1	January 2020	£25.00 – Purchase Checkout Added to cart
Client due diligence procedure	v6	March 2021	£150.00 – Purchase Checkout Added to cart
CFA 2017 Firmwide risk assessment - Includes CFA 2017 firmwide risk assessment guidance	v2	June 2020	£175.00 – Purchase Checkout Added to cart
AML Reg 18 firmwide risk assessment	v5	March 2021	£175.00 – Purchase Checkout Added to cart
MLR CFA 2017 Matter risk assessment - conveyancing	v5	March 2021	£200.00 – Purchase Checkout Added to cart
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	£50.00 – Purchase Checkout Added to cart
CFA suspicious activity register - Includes Word and Excel version	v1	January 2020	£25.00 – Purchase Checkout Added to cart
CFA suspicious activity internal report form	v1	January 2020	£50.00 – Purchase Checkout Added to cart
MLR suspicious activity register - Includes Word and Excel version	v1	February 2020	£25.00 – Purchase Checkout Added to cart
CFA 2017 Implementation and Communication Plan	v1	June 2020	£95.00 – Purchase Checkout Added to cart
Companies House discrepancy reporting register - Includes Word and Excel version	v1	February 2020	£25.00 – Purchase Checkout Added to cart
CFA outsourcing clause guidance	v1	January 2020	£25.00 – Purchase Checkout Added to cart
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):	£1,288.00 – Purchase Checkout Added to cart

1B. Risk management – Data Protection

Name of document	Version No.	Last Updated	Cost
Data protection policy	v2	November 2019	£195.00 – Purchase Checkout Added to cart
Privacy policy for employees	v2	September 2019	£175.00 – Purchase Checkout Added to cart
Data subject access request procedure	v2	November 2019	£95.00 – Purchase Checkout Added to cart
Data breach register	v1		£50.00 – Purchase Checkout Added to cart
Data information register	v1		£50.00 – Purchase Checkout Added to cart
Data protection addendum agreement	v2	November 2019	£95.00 – Purchase Checkout Added to cart
Data protection impact assessment template - Including guidance notes	v1		£75.00 – Purchase Checkout Added to cart
DSAR acknowledgement letter	v2	November 2019	£25.00 – Purchase Checkout Added to cart
DSAR response letter	v1		£25.00 – Purchase Checkout Added to cart
Right to restrict processing (acceptance letter)	v1		£25.00 – Purchase Checkout Added to cart
Right to restrict processing (extension request)	v1		£25.00 – Purchase Checkout Added to cart
Right to restrict processing (rejection-open file)	v1		£25.00 – Purchase Checkout Added to cart
Right to restrict processing (rejection-closed file)	v1		£25.00 – Purchase Checkout Added to cart
Right to object (acceptance letter)	v1		£25.00 – Purchase Checkout Added to cart
Right to object (extension request)	v1		£25.00 – Purchase Checkout Added to cart
Right to object (rejection-open file)	v1		£25.00 – Purchase Checkout Added to cart
Right to object (rejection-closed file)	v1		£25.00 – Purchase Checkout Added to cart
Right to erasure (acceptance letter)	v1		£25.00 – Purchase Checkout Added to cart
Right to erasure (extension request)	v1		£25.00 – Purchase Checkout Added to cart
Right to erasure (rejection-open file)	v1		£25.00 – Purchase Checkout Added to cart
Right to erasure (rejection-closed file)	v1		£25.00 – Purchase Checkout Added to cart
Data protection impact assessment guidance notes	v1		Not sold separately
		Total cost for individual documents:	£1,085
		Purchase the whole section (20% saving):	£868.00 – Purchase Checkout Added to cart

1C. Risk Managment - Other Risk Management

Name of document	Version No.	Last Updated	Cost
Risk management policy	v2	November 2019	£195.00 – Purchase Checkout Added to cart
Anti-bribery, corruption and fraud policy	v2	November 2019	£195.00 – Purchase Checkout Added to cart
Conflicts of interest policy	v2	November 2019	£195.00 – Purchase Checkout Added to cart
Equality, diversity and inclusion policy	v1		£195.00 – Purchase Checkout Added to cart
Statement of SRA compliance	v1		£150.00 – Purchase Checkout Added to cart
Quality policy	v2	November 2019	£150.00 – Purchase Checkout Added to cart
Outsourcing policy	v2	February 2020	£150.00 – Purchase Checkout Added to cart
Whistleblowing policy	v1		£150.00 – Purchase Checkout Added to cart
Compliance plan	v2	March 2020	£195.00 – Purchase Checkout Added to cart
Business continuity plan	v2	November 2019	£195.00 – Purchase Checkout Added to cart
Strategic business plan	v2	November 2019	£195.00 – Purchase Checkout Added to cart
Gifts and entertainment register - Including Word and Excel	v2	November 2019	£25.00 – Purchase Checkout Added to cart
Risk Register - Including Word and Excel	v2	November 2019	£195.00 – Purchase Checkout Added to cart
Declined instructions register - Including Word and Excel	v1		£25.00 – Purchase Checkout Added to cart
Outsourcing register - Including Word and Excel	v1		£25.00 – Purchase Checkout Added to cart
Firm and staff interests register - Including Word and Excel	v1		£25.00 – Purchase Checkout Added to cart
Breach register	v1		£25.00 – Purchase Checkout Added to cart
Risk evaluation of the strategic business plan - (Includes sample risk evaluation template)	v2	February 2020	£95.00 – Purchase Checkout Added to cart
Annual risk review meeting minutes - template (Includes sample annual risk review)	v2	February 2020	£50.00 – Purchase Checkout Added to cart
Referral introducer agreement guidance	v1		£95.00 – Purchase Checkout Added to cart
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):	£2,020.00 – Purchase Checkout Added to cart

2. Client Care

Name of document	Version No.	Last Updated	Cost
Client care policy	v2	November 2019	£195.00 – Purchase Checkout Added to cart
Vulnerable clients policy	v1		£150.00 – Purchase Checkout Added to cart
Privacy policy for clients	v2	April 2019	£175.00 – Purchase Checkout Added to cart
Complaints procedure for clients	v1		£95.00 – Purchase Checkout Added to cart
Accepting and declining instructions and ceasing to act procedure	v3	November 2019	£95.00 – Purchase Checkout Added to cart
Price and service transparency procedure	v2	November 2019	£95.00 – Purchase Checkout Added to cart
Internal complaints procedure	v1		£95.00 – Purchase Checkout Added to cart
Client satisfaction survey	v1		£25.00 – Purchase Checkout Added to cart
Complaint response letter - wording	v1		£25.00 – Purchase Checkout Added to cart
Terms of business for clients	v1		£250.00 – Purchase Checkout Added to cart
Wording for website re LeO	v1		£25.00 – Purchase Checkout Added to cart
Complaints register - (Including Word version)	v1		£25.00 – Purchase Checkout Added to cart
Notice of right to cancel	v2	November 2019	£25.00 – Purchase Checkout Added to cart
		Total cost for individual documents:	£1,275
		Purchase the whole section (20% saving):	£1,020.00 – Purchase Checkout Added to cart

3. Matter Management

Name of document	Version No.	Last Updated	Cost
Undertakings policy	v2	February 2020	£150.00 – Purchase Checkout Added to cart
Experts and counsel policy	v2	February 2020	£150.00 – Purchase Checkout Added to cart
Third party recommendations policy	v2	February 2020	£150.00 – Purchase Checkout Added to cart
Key dates procedure - Sold as a package with 4 x key date checklists (includes litigation, purchase, remortgage and sale checklists).	v1		£95.00 – Purchase Checkout Added to cart
File opening procedure	v2	November 2019	£95.00 – Purchase Checkout Added to cart
File closing procedure	v2	November 2019	£95.00 – Purchase Checkout Added to cart
File supervision and review procedure	v3	February 2020	£95.00 – Purchase Checkout Added to cart
Time recording procedure	v1		£95.00 – Purchase Checkout Added to cart
High risk matter register (Including Word and Excel version)	v1		£25.00 – Purchase Checkout Added to cart
Experts and counsel register (Including Word and Excel version)	v1		£25.00 – Purchase Checkout Added to cart
Undertaking register (Including Word and Excel version)	v1		£25.00 – Purchase Checkout Added to cart
Third party recommendations register (Including Word and Excel version)	v1		£25.00 – Purchase Checkout Added to cart
File opening form	v2	February 2020	£50.00 – Purchase Checkout Added to cart
File closing form	v2	February 2020	£50.00 – Purchase Checkout Added to cart
File review form	v2	February 2020	£50.00 – Purchase Checkout Added to cart
File review form on transfer (merger or acquisition)	v2	February 2020	£50.00 – Purchase Checkout Added to cart
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	£50.00 – Purchase Checkout Added to cart
		Total cost for individual documents:	£1,275
		Purchase the whole section (20% saving):	£1,020.00 – Purchase Checkout Added to cart

4. IT

Name of document	Version No.	last Updated	Cost
Information management and security policy	v2	November 2019	£195.00 – Purchase Checkout Added to cart
Cyber security policy	v1		£150.00 – Purchase Checkout Added to cart
Social media policy	v2	November 2019	£95.00 – Purchase Checkout Added to cart
Website management policy	v1		£95.00 – Purchase Checkout Added to cart
Email and internet use policy	v1		£95.00 – Purchase Checkout Added to cart
Remote working policy	v1		£95.00 – Purchase Checkout Added to cart
Cyber wording for website	v1		£25.00 – Purchase Checkout Added to cart
Software register (Including Word and Excel version)	v1		£25.00 – Purchase Checkout Added to cart
Asset register (Including Word and Excel version)	v1		£25.00 – Purchase Checkout Added to cart
		Total cost for individual documents:	£800
		Purchase the whole section (20% saving):	£640.00 – Purchase Checkout Added to cart

5. Finance

Name of document	Version No.	Last Updated	Cost
Interest policy	v1		£95.00 – Purchase Checkout Added to cart
Financial transactions procedures	v2	November 2019	£195.00 – Purchase Checkout Added to cart
		Total cost for individual documents:	£290
		Purchase the whole section (20% saving):	£241.00 – Purchase Checkout Added to cart

6. AML Core documents bundle - UPDATED MARCH 2021

Anti-money laundering core documents bundle

Name of document	Version No.	Last Updated
Anti-money laundering policy	v7	March 2021
Mortgage fraud policy	v1
Source of funds policy	v2	March 2021
Client due diligence procedure	v6	March 2021
AML Reg 18 firmwide risk assessment	v5	March 2021
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

7. CQS Core documents bundle

CQS core documents bundle

Section of CQS Standard	Name of Document	Version No.	Last Updated
	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

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

8. CFA Core documents bundle

CFA core documents bundle

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

9. Data Protection Core documents bundle

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

Name of document	Version No.	Last Updated
Data protection policy	v2	June 2020
Privacy policy for employees	v2	June 2020
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

10. Handling Complaints Core documents bundle

Handling Complaints documents bundle

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

11. SRA Start Up Key Policies bundle

Suggested list for general practice including conveyancing

Name of document	Version No.	Last Updated
Risk management policy	v2	November 2019
Anti-money laundering policy	v7	March 20201
CFA policy	v2	January 2020
Anti-bribery policy	v2	November 2019
Conflicts of interest policy	v2	November 2019
Data Protection Policy	v2	November 2019
Mortgage fraud policy	v1	November 2019
Source of funds policy	v1	November 2019
Whistleblowing policy	v1	March 2020
Privacy policy for clients	v2	April 2019
Interest policy	v1	November 2019
Business continuity plan	v2	November 2019
Client Due Diligence Procedure	v5	March 2021
Complaints procedure for clients	v2	November 2019
Accepting and declining instructions and ceasing to act procedure	v3	November 2019
Price and service transparency procedure	v2	November 2019
Financial transactions procedure	v2	November 2019
Risk register	v2	December 2019
CFA firmwide risk assessment	v2	January 2020
AML reg 18 risk assessment	v5	March 2021
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
Data information register	v1	June 2020
PEP questions for CDD	v2	January 2020
Terms of business for clients	v1	December 2019

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. AML Core documents bundle - UPDATED MARCH 2021

Anti-money laundering core documents bundle

7. CQS Core documents bundle

CQS core documents bundle

Exclusions to note

8. CFA Core documents bundle

CFA core documents bundle

9. Data Protection Core documents bundle

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

10. Handling Complaints Core documents bundle

Handling Complaints documents bundle

11. SRA Start Up Key Policies bundle

Suggested list for general practice including conveyancing

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

Suggested list for general practice including conveyancing

Other Services

Any Questions?