QuestionCorrect answer 1. As a SRA-regulated law firm, what do we have to comply with? (c) SRA Standards and Regulations and any other applicable legislation and rules...
How to use this test These questions are designed to test your understanding after your attendance at our training on an introduction to compliance. After you have...
Coupled with an apparent trend of ever-larger claims against solicitors and other professionals is the sprawling change that has been occurring both in the field of...
Background It is good practice to assess the risk profile of different types of work. Key risks in relation to probate work include: • not proving the...
Poor quality instructions, delay, failure to properly assess capacity, drafting errors and confusion over the scope of the retainer are all strong contributors to...
This Practice Note is based on reporting requirements in the SRA Codes of Conduct 2019 (in force from 25 November 2019) as amended by the SRA Regulatory Arrangements...
1 Introduction 1.1 This document sets out our policy for dealing with breaches of regulatory requirements that apply to our firm. Some of these requirements are imposed...
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...
Why are we undertaking this survey? [Insert name of firm/organisation] plans for unexpected emergencies with a comprehensive business continuity plan. This plan ensures...
1 Introduction 1.1 Business overview [Insert description of your organisation, eg [insert organisation name] is a leading provider of…etc]] 1.2 Business strategy [Insert...
Produced in partnership with David Gilmore of DG Legal 1 Introduction It is our policy to ensure that if our business is interrupted, we can become fully operational as...
This Practice Note explains what a business continuity plan (BCP) is and the regulatory requirements in relation to BCPs, and provides guidance on formulating a BCP. What...
Produced in partnership with David Gilmore of DG Legal 1 General information Date of review[Insert date] Person(s) conducting review[Insert name] 2 Review and findings...
Produced in partnership with David Gilmore of DG Legal NameCallsContact number [CEO OR Senior Partner OR [Head of [Compliance OR Legal OR ][Insert number] [Head of...
Produced in partnership with David Gilmore of DG Legal Please note that the information contained in these tables is confidential. BCP management team contacts...
This Practice Note Business continuity plan (BCP) lifecycle is designed to help you navigate our BCP Precedents. This lifecycle is appended to Precedent: Business...
Produced in partnership with David Gilmore of DG Legal 1 Priority list of functions The key elements of the business that are needed to [deliver our services to...
This Practice Note covers regulatory requirements that must be complied with when preparing a written strategy for continuing the organisation’s business in the event of...
Produced in partnership with David Gilmore of DG Legal RiskImpact(low/medium/high)Likelihood(low/medium/high)Measures taken to reduce, avoid or transfer the risk...
Produced in partnership with David Gilmore of DG Legal This presentation has been designed as an aid to train your staff on your Business continuity plan (BCP)...
A: General information Date of review Person(s) conducting review B: Data 1 Rolling data CriteriaIn the last [insert period, eg quarter]Over the last 12 months Number of...
A: General information Date of review Person(s) conducting review B: Data 1 Rolling data CriteriaIn the last [insert period, eg quarter]Over the last 12 months Number of...
A: General information Date of review Person(s) conducting review B: Data 1 Rolling data CriteriaIn the last [insert period, eg quarter]Over the last 12 months Number of...
Please click here for an Excel version of this register. Department/type of work Fee earner(s) involved Claimant name and contact details Claimant relationship...
A: General information Date of monitoring review[insert date of monitoring review] Person conducting monitoring review B: Consolidated data CriteriaOver the last 12...
It is not realistic to monitor every area of compliance every month. We take a risk-based approach by monitoring different areas of compliance each month, as set out in...