CLC Compliance Essentials

Practical, proportionate compliance support for CLC Practices.

CLC Compliance Essentials gives you ongoing, specialist support to meet CLC Standards and Regulations and, where relevant, Anti-Money Laundering Regulations. It’s designed to give you peace of mind and free up time, while helping you demonstrate a robust compliance environment to the Council of Licensed Conveyancers and insurers.

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Outsourced CLC Compliance Support for Regulated Practices

Managing compliance as a CLC regulated practice can be complex, time-consuming and high risk if not handled correctly.

Our CLC Compliance Essentials service provides a complete outsourced compliance solution, helping your firm meet its obligations under the CLC Code of Conduct, Accounts Code and AML regulations, while giving your HOLP, HOFA and MLRO the support they need.

We work alongside your practice to embed practical, proportionate compliance systems that not only meet regulatory expectations, but work in the real world.

What is CLC Compliance Essentials?

CLC Compliance Essentials is a fully managed compliance support service designed specifically for CLC regulated conveyancing and probate practices.

It ensures your firm can:

Meet CLC regulatory requirements
Maintain robust Policies, Controls and Procedures (PCPs)
Evidence effective risk management and governance
Support key compliance roles including HOLP, HOFA and MLRO
Stay up to date with AML, sanctions and regulatory changes

CLC regulation requires firms to demonstrate strong systems, controls and oversight across all areas of practice. This service ensures those systems are in place, maintained and actively managed.

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Enquiries

Enquire Today

For more information about our Compliance Essentials Service, you can call or email us via the details below:

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0203 985 8550

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info@regulationandcomplianceoffice.co.uk

What’s Included

Our annual subscription provides ongoing, hands-on support from a specialist compliance team.

1. Policies, Controls and Procedures (PCPs)

We provide and maintain a full suite of compliance documentation aligned to:

CLC Code of Conduct
CLC Accounts Code
AML and financial crime regulations
Data protection legislation

This includes:

AML & Counter-Terrorist Financing policies
Risk management frameworks
Client care and complaints procedures
Conflicts and confidentiality policies
Business continuity and cybersecurity
Source of funds and source of wealth guidance

All policies are kept up to date as regulation and best practice evolve.

2. Firm-Wide Risk Assessment (Regulation 18 MLR 2017)

We complete and maintain your firm-wide risk assessment in line with:

Regulation 18 of the Money Laundering Regulations 2017
CLC AML guidance

This provides a structured analysis of your firm’s risk exposure and ensures appropriate controls are implemented and documented.

3. Training and Implementation

We deliver training to ensure your team understands:

The CLC regulatory framework
Your firm’s policies and procedures
AML, sanctions and financial crime risks
Data protection obligations

Training is practical, relevant and tailored to your firm.

4. Compliance Auditing

We carry out an annual audit to assess how effectively your policies are being implemented.

This includes:

File reviews
Staff interviews
Compliance testing

You receive a detailed report highlighting:

Areas of strength
Risks and gaps
Recommended actions

This helps demonstrate compliance to the CLC and insurers.

5. Ongoing Compliance Support

You’ll have access to a dedicated compliance team providing:

Day-to-day guidance on regulatory queries
Support for HOLP, HOFA and MLRO responsibilities
Advice on risk, compliance and operational issues

This ensures you’re never dealing with compliance challenges alone.

6. Registers, Reporting and Notifications

We provide structured registers and reporting tools to support:

Incident reporting
Complaints tracking
Risk monitoring
AML and financial crime reporting

Aligned to the responsibilities of:

HOLP (Head of Legal Practice)
HOFA (Head of Finance & Administration)
MLRO (Money Laundering Reporting Officer)

7. Regulatory Updates and Guidance

We keep your firm informed with:

Regulatory updates
Legislative changes
Practical compliance guidance

Helping you stay ahead of developments in the CLC regulatory landscape.

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Optional Add-on Services

Consultancy Services for CLC Practices

We provide outsourced solutions in a range of areas which include:

CLC authorisation application, maintenance, and compliance support
Risk, Regulation and Compliance Service, including AML
Risk, Compliance & AML Guidance and Administration Service
Risk & Supervision Assessment Service
Office and Accounts Manuals

Practice management
Data Protection and GDPR
Transparency and Service Information requirements
Training and mentoring
Professional Indemnity Insurance Management
HR support and guidance
Closing a practice

These solutions can be taken individually or combined to meet the needs of any CLC regulated practice. We work hard to provide optimum solutions to conveyancing practices at cost-effective pricing.

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Why firms choose CLC Compliance Essentials

We don’t just provide documents, we provide a fully embedded compliance solution. Our approach ensures:

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Practical, real-world compliance systems

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Independent annual audit and documented reporting

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Ongoing maintenance of Policies, Controls and Procedures

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Clear oversight for HOLP and HOFA roles

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Ongoing support, not one-off advice

Explore Our CLC Compliance Services

For detailed information on our compliance framework services, AML support, risk management solutions and ongoing compliance management for CLC regulated practices, please call us on 0203 985 8550, complete the online enquiry form below, or email us info@regulationandcomplianceoffice.co.uk