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Compliance Stress Test

Assistance principally, but not exclusively, for SRA regulated law firms. A Gap Analysis of your compliance and a report of what's missing, what you need to do to fix it, prioritisation & pricing for doing so. At least then you'll know what to do! (As a bonus, it also means you've done your Independent AML Audit as required by the SRA and a good bit of the prep for an application for Lexcel, CQS or SQM)

Would you like to know what’s missing from your compliance and

what it would cost to fix it and bring it up to date?

There are all these stories around about regulators carrying out inspections to see if your compliance is up to scratch. I remember from being in practice, buried in case work, wishing there was someone who could tell me what to do.

Well, we can help. We can provide you with a Gap Analysis and Report covering the following compliance areas:

  • SRA Code of Conduct
  • SRA Accounts Rules
  • AML
  • GDPR

Bonus: this act as a useful Gap Analysis in prep for an application for Lexcel, CQS or a Legal Aid Franchise application or audit (all of which we can also assist with).

What we will do

A remote review of your current policies and procedures against the current regulatory requirements with a report on what needs to be done to bring them up to date. It will include a review of your website. This will be done from documentation supplied by you + what’s on your website. This will be done in the context of what your business does. 

All work is carried out remotely unless by separate arrangement. The team reviewing your firm are: Ian Johnson, our expert in the SRA Accounts Rules, Paul Wilkinson, our expert on AML, the SRA Code of Conduct and who produces our OPM, Nick Richards, Our Data Protection Officer and who supplies our Data Protection Officer Service and Ingemar Hunnings, our lead consultant and solicitor.

Process:

  • We will ask you to share with us what you currently have and complete a brief form giving a summary of your firm
  • We will assess this and provide a quote for the cost and estimated delivery date

The Report will contain:

  1. a Gap Analysis
  2. Recommendations of what you need to do to fix this
  3. Prioritisation
  4. Pricing for each so you may budget

So you will have a report showing you what you need to do with prioritisation and pricing covering all the major compliance areas. It will also have done a lot of the prep for you should you wish to apply for Lexcel, CQS or a Legal Aid Franchise.

Our Charges

We will quote once we have seen what you already have & so can see how much work we will need to do
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