Regulatory Compliance and Risk Management Services

Offering of a specialist regulatory compliance consultancy service adopted on a practical based approach. You will benefit from having transparency over your compliance risks, and the comfort of a professional Compliance Consultant to consult at affordable prices. Services comprise the following:

  • Compliance Health Checks – one-off, periodical or annual check of your compliance procedures to ensure that they meet SRA, LAA, and MLR Compliance.
  • Conduct File Reviews / Audits –conduct reviews / audits to demonstrate effective staff supervision and compliance.
  • Regular Compliance Monitoring – on-going monitoring service involving regular reviews of your existing compliance procedures, and processes to ensure that they are effective, and demonstrate compliance and best practice in key areas.
  • Compliance Documentation – assistance in creating risk-based Compliance Policies & Manuals, File Review Forms, AML Procedures, Compliance Plans, Risk Registers, and Management Controls and Systems
  • General Compliance Guidance and Support (Lexcel and ISO 9001 standard) – assistance on general compliance matters, includingguidance on the interpretation, and implementation of the SRA handbook, MLR Regulations and LAA Compliance.
  • COLP and COFA Guidance and Support – guidance, assistance and support in performance of COLP and COFA duties
  • Lexcel / ISO 9001 Guidance and Support – assistance in achieving and maintaining Lexcel / ISO 9001 standard
  • Compliance Applications – assistance with regulatory applications, including PI Insurance applications for approval.
  • Client Account Balances – assistance in management and dealing with aged client balances

Public Funded Compliance

  • Legal Aid Quality Standards – assistance to new providers to obtain relevant quality standard (Specialist Quality Mark)
  • LAA Compliance Guidance and Support – general guidance, assistance and support to existing and new providers on contract compliance, and standards to ensure that organisations understand their obligations and know how to demonstrate compliance in key areas.
  • LAA Process Audits – Independent Internal Audits to assess general performance
  • LAA File Reviews – reviews on file management of certificated matters to ensure compliance, efficiency and successful recovery at billing stage
  • LAA Controlled Matter Reviews – review of client eligibility, evidence and compliance on levels (level 1 and 2)

Current Certifications

ISO 9001 Internal QMS Auditor Training Certification certified by the International Register of Certified Auditors (IRCA)

Current Professional Membership

International Compliance Association

Current project

Appointed by an Insolvency Company to support and assist in the affairs of a Private and Legal Aid Solicitor Company in Liquidation. Specific appointment includes:

  • Take-over of the client account (by becoming the sole signatory (authorised by the SRA)). Responsible for audit, reconciliation of client ledgers, identification of accounts breaches, and distribution of client balances
  • Undertaking in-depth risk assessment of the Company (client, office and business) for failings of SRA and LAA compliance
  • Audit of Private Client Debtor matters
  • Management of a team assisting with recovery of fees
  • Audit and Process of unbilled LAA matters
  • Resolution of complex LAA matters for recovery purposes
  • Management of client related inquiries from previous clients
  • Management of archive and destruction of client matters
  • Audit and investigation of third party creditors relating to client matters