Compliance health checks

To prepare for the new standards and regulations regime coming into force in November, Compli is offering a compliance health check of your practice.

Are you prepared for the changes or wondering where and how to start preparing? Is your risk management regime robust enough? Are your audit/file review processes sufficient to help recognise red-line risks? Does your training programme fulfil all regulatory and legislative requirements? How will you embed ethics into your training? If the SRA, under its enforcement strategy, continues its present policy of disciplinary investigations and sanctions against firms and responsible individuals, will you be able to deal with that, particularly with the likely change to the civil standard of proof, both in terms of management time and stress?

Will someone within your firm be responsible for all areas of risk and compliance, or will you outsource all or some areas? The benefits of outsourcing are well known and include:

• Expert knowledge and mitigation of risk
• Reduced costs (salary and benefits savings)
• Time efficiencies, freeing up senior management time to focus on profitable work and business development

For a fixed fee of only £1,450 + VAT, the health check will review your compliance against key aspects of the current SRA Handbook, recommend gaps that need filling and advise on the steps needed to introduce and embed the new regulatory framework.

Complete the form below for a free, no obligation discussion.