Compliance plan

Compliance plan guidance:

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...

Precedents

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...

Precedents

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...

Precedents

The compliance calendar—long form is presented in a spreadsheet as a yearly planner. The calendar has been populated with sample activities and sample intervals for...

Precedents

The Compliance calendar is presented in an Excel spreadsheet as a yearly planner. In an ideal world, you would review every area of compliance on a regular basis to make...

Precedents

1 Introduction 1.1 This document sets out our plan for complying with the numerous regulatory requirements that apply to our business and forms part of our overall risk...

Precedents

This Practice Note explains whether law firms should have a compliance plan and, if so, what you may wish to include. It reflects the SRA Standards and Regulations 2019....

Practice Note

A: General information Date of annual review Person(s) conducting annual review B: Review and findings Does your written Compliance plan accurately reflect your current...

Precedents

1 Introduction 1.1 This document sets out our plan for complying with the numerous regulatory requirements that apply to our business and forms part of our overall risk...

Precedents

No firm can afford to be complacent when it comes to compliance. The SRA has made it clear that firms that cannot or will not put their house in order will...

Practice Note

No firm can afford to be complacent when it comes to compliance. The SRA has made it clear that firms adopting a less than comprehensive approach to compliance will face...

Practice Note

The SRA Standards and Regulations in force from 25 November I would like to remind you that the SRA Standards and Regulations are in force from 25 November 2019. They...

Precedents

The SRA Standards and Regulations are in force from 25 November 2019. This presentation has been designed as a training aid that you can use to introduce your staff to...

Precedents