Supervision & file reviews

Supervision & file reviews guidance:

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...

Practice Note

Supervision means the management of people and their work. Proper supervision is a statutory and regulatory obligation. You may have to justify your supervision...

Practice Note

Dear All We have completed our [annual OR quarterly OR file audit OR review] period. Our [audit OR review] shows that we have made significant improvements in areas such...

Precedents

1 Preliminary data Reason for audit/review(Circle one or more)ComplaintRoutine file audit/reviewFee earner requestAMLOther (describe) Date[Insert date] File reference...

Precedents

There is no specific regulatory requirement to have a file audit/review process. If you want to achieve Lexcel accreditation then there is a requirement for you to have a...

Practice Note

1 General information Date of monitoring review[Insert date] Person conducting monitoring review[Insert name] 2 Consolidated data CriteriaIn the last [insert period, eg...

Precedents

1 General information Review period[Insert review period] Date of review[Insert date] Person(s) conducting review[Insert name(s)] 2 Complaints Number of complaints...

Precedents

A Word version of this chart that you can edit is available. Close This Precedent supervision structure chart can be used to show how each department or type of work is...

Precedents

This Practice Note reflects requirements in the SRA 2019 regime, effective from 25 November 2019. See Practice Note: Supervision—SRA 2011 regime and SRA 2019 regime...

Practice Note

1 Supervision structure 1.1 Supervision is achieved through our management structure and reporting lines. These are shown in our structure chart: day-to-day supervision...

Precedents

1 Introduction This document sets out our supervision arrangements, including: 1.1 our supervision structure; 1.2 arrangements for supervising client matters; 1.3 our...

Precedents

1 General information Date of review[Insert date] Person(s) conducting review[Insert name(s)] 2 Review and findings Is your Supervision structure chart up to date?Yes /...

Precedents

Supervision means the management of people and their work, and includes supervising fee earners and non-fee earning staff. Proper supervision is a statutory and...

Practice Note

Supervision means the management of people and their work, and includes supervising fee earners and non-fee earning staff. Proper supervision is a statutory and...

Practice Note

This Practice Note contrasts the requirements in the SRA’s 2011 and 2019 regimes as well as wider requirements in relation to supervision. There is a separate Practice...

Practice Note