Compliance health checks
To help kick-start your regulatory fitness regime, Compli is offering MLS members a compliance health check of your practice.
With the SRA standards and regulations regime firmly embedded, the SRA regularly reviewing the regulations, and having increased fining powers, Compli is offering a compliance health check, which can include a questionnaire for all staff, of your practice.
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? Have you embedded 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 change to the 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
Book your compliance health check
Complete the form below for a free, no obligation discussion.
Our other solicitors disciplinary defence services
- Admission to the roll
- Anti money laundering audits
- COLPs and COFAs
- Compli
- Compliance with SRA requirements
- Costs in the SDT
- Criminal Finances Act risk assessments
- Defending trainee solicitors
- Dishonesty in SDT proceedings
- Judicial review of SDT decisions
- Regulatory settlement agreements
- Restoration to the Roll
- Risk management and compliance
- Section 43 applications and orders
- Section 44B notices
- Self reporting to the SRA
- Solicitors Disciplinary Tribunal
- Solicitors’ undertakings
- SRA investigations
- SRA adjudications
- SRA authorisation
- SRA interventions
- SRA supervision
- SRA Practising Certificate conditions
- SRA and SDT appeals
- SRA publication policy
- The Solicitors Accounts Rules
- The SRA Assessment of Character and Suitability Rules
- Compliance health checks
- SRA, sexual harassment and misconduct
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