Risk data—annual review

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

  • Risk data—annual review

Risk data—annual review

    1. 1

      General information

      Review period[Insert review period]
      Date of review[Insert date]
      Person(s) conducting review[Insert name(s)]
    1. 2

      Complaints

      Number of complaints received[Insert number]
      Number of complaints referred to the Legal Ombudsman (LeO)[Insert number]
      Number of complaints resolved[Insert number]
      Trends/patterns identified[Insert details]
    1. 3

      Indemnity claims

      Number of potential indemnity claims received[Insert number]
      Number of potential claims notified to professional indemnity insurer[Insert number]
      Number of outstanding claims[Insert number]
      Potential global value of outstanding claims[Insert value]
      Trends/patterns identified[Insert details]
    1. 4

      File audit/review data

      Number of file reviews conducted[Insert number]
      Number of files requiring corrective actions[Insert number]
      Trends/patterns identified[Insert details]
    1. 5

      Compliance breaches

      Number of suspected compliance breaches reported internally to the COLP/COFA[Insert number]
      Total number of actual compliance breaches (serious and non-serious)[Insert number]
      Number of serious compliance breaches[Insert number]
      Number of compliance breaches reported to the SRA.
      If different to ‘Number of serious compliance failures’, state why
      [Insert number]
      Trends/patterns identified[Insert details]

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