File audit/review form
File audit/review form

The following Practice Compliance precedent provides comprehensive and up to date legal information covering:

  • File audit/review form
  • 1 Preliminary data
  • 2 File opening
  • 3 File management
  • 4 During the matter
  • 5 Substantive review
  • 6 Closed files only

    1. 1

      Preliminary data

      Reason for audit/review
      (Tick all that apply)
      ☐ Complaint
      ☐ Routine file audit/review
      ☐ Fee earner request
      ☐ AML
      ☐ Other (describe)
      Date[Insert date]
      File reference number[Insert number]
      File name[Insert file name]
      Reviewer[Insert name]
      Conducting fee earner[Insert name]
    1. 2

      File opening

      Procedures followed
      CDD obtained
      Cost v benefit consideration evident
      Costs information provided, including:
      —basis of charging
      —likely overall cost
      —when fees may change
      —any other costs for which the client may be responsible
      Client's requirements and objectives established
      Client given clear explanation of the issues involved and the options available to them
      Client given explanation of what the fee earner will and will not do
      Client given name and status of fee earner and person responsible for supervising the matter
      Instructions received confirmed in writing
      Next steps agreed with client
      Appropriate level of service agreed
      Method of funding established

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