The following Practice Compliance practice note provides comprehensive and up to date legal information covering:
This Practice Note explains how to develop and embed a successful file audit/file review process in your firm. See Practice Note: File audits or file reviews—the basics for further information on why you should have a file audit/review system.
The SRA does not give any guidance on how to conduct file audits/reviews but the Lexcel standard says that the procedure must be independent, involve a review of either the management of the file or its substantive legal content, or both, and include:
defining file selection criteria
defining the number and frequency of reviews
retaining a record of the file review on the matter file and centrally
ensuring any corrective action which is identified in a file review is acted upon within 28 days and verified by the reviewer
ensuring that the designated supervisor reviews and monitors the data generated by file reviews
conducting a review at least annually of the data generated by file reviews
A file audit/file review form should include prompts to assess whether the fee earner is complying with relevant regulatory requirements , eg:
are terms of business being sent out consistently with engagement letters?
are clients being told at the outset all the important cost information?
are complaints handled properly?
is client due diligence (CDD) information being obtained?
are information barriers and secrecy agreements being
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Voluntary manslaughterVoluntary manslaughter consists of those killings which would be murder (because the accused has the relevant mental element for murder) but which are reduced to manslaughter because of one of the three special defences (loss of control, diminished responsibility or suicide
Coronavirus (COVID-19): The guidance detailing normal practice set out in this Practice Note may be affected by measures concerning process and procedure in the civil courts that have been introduced as a result of the coronavirus (COVID-19) pandemic. For guidance, see Practice Note: Coronavirus
BREXIT: UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance on the impact of Brexit on e-money requirements, see Practice Note: Impact of Brexit: Payment services and electronic money directives—quick
This Precedent letter covers disclosure obligations under CPR 31. It does not apply to proceedings subject to the disclosure pilot scheme under CPR PD 51U. For guidance on the disclosure pilot scheme, see Practice Note: Business and Property Courts—the disclosure pilot scheme. For a client letter on
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