Auditing & File Reviews for CLC Practices

At Regulation & Compliance Office (RACO), we provide full and detailed audits covering a range of compliance areas for CLC regulated practices.

Our auditors are experienced legal professionals with considerable knowledge gained from working within conveyancing and probate practices. They are familiar with a wide range of matter types and most case management systems commonly used by CLC firms.

Audits and file reviews can be undertaken onsite or remotely via secure connection, depending on the requirements of the practice.

Why Auditing & File Reviews Matter

Independent auditing and file reviews provide practices with an objective assessment of compliance arrangements and operational processes.

External audits are often considered more effective because they provide an independent perspective that internal reviews cannot always achieve.

Regular auditing can help practices:

• Identify compliance gaps and operational risks
• Assess adherence to internal Policies, Controls and Procedures
• Strengthen file supervision and oversight
• Improve consistency across departments and matter types
• Demonstrate a proactive approach to compliance and risk management

Each audit includes reporting for practice management, identifying areas of compliance together with any issues, concerns and recommended solutions.