In one day the Legal Eye team will review a wide variety of risk and compliance areas providing a written report identifying any corrective actions recommended as a result of the audit.

The gap analysis covers:

Client Care Documentation and Regulatory Requirements

• Client care letters for each work type
• Terms of Business for each work type
• Letterheads and Facsimile Headings
• Invoices
• Email footers
• Website
• ICO / FCA Registrations
• Professional Indemnity Insurance

Office Manual

Office Manual and associate policies – ie AML and Mortgage Fraud, Equality and Diversity, Anti-Bribery, Vulnerable Clients etc – to ensure compliance with the current Code of Conduct.

Registers

• Risk Register
• High Risk Register
• Complaints Register
• Outsourcing Register
• Criminal Finances Act 2017 Suspicious Activity Report Register
• Gifts and Entertainment Register
• Register of Interests
• Declined Instructions Register
• Barristers and Experts Register
• Recommendation of Third Parties to Clients Register
• Undertakings Register

Plans

• Strategic Business Plan
• Business Continuity Plan
• Learning and Development Plan
• Information Technology Plan
• Other Compliance Requirements
• File Checklists / File Opening Forms
• Risk Management Processes / Supervision
• Fee Sharing and Referral Agreements
• Outsourcing
• Training Provision

File Reviews

A selection of files across work types for each fee earner.