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.