Auditing & File Reviews
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Compliance For Law Firms
At the Regulation and Compliance Office we provide full and detailed audits covering a range of areas for firms.
Our Auditors are all experienced Solicitors and Lawyers who have gained considerable knowledge by working within law firms. They are able to navigate a multitude of legal matters and are familiar with most case management systems.
We can undertake audits and file reviews both onsite (preferred) and offsite via a remote connection.
Audits performed by an Independent Outsource Partner are often considered more effective as they are independent.
We will work to audit forms we have created for different types of matters or audits, or we can work to a form that a Firm has created or that we have created with them.
Each audit will also include a report for the Management of the Firm to highlight areas of compliance or any issues and concerns with solutions.
Our Auditing Service
Our Auditing Service includes:
File Reviews
We provide a full range of file reviews, whether on a complete outsource basis or as part of an overall audit strategy and cover minimum numbers as set out in the Firm’s supervision policy, including any commitments made to comply with Lexcel, CQS and SQM. Our files can cover:
- General Compliance
- AML and Due Diligence
- CQS specific
Each of these will be bespoke to the firm and include a written report with the outcome and recommendations.
Regulation 21 Independent Audit
An Independent audit that complies with the requirement of regulation 21 of the MLR 2017 and the expectation of the Solicitors Regulation Authority.
Risk and Compliance Audit
A general risk and compliance audit as part of a firm’s approach to regulation and risk management.
GDPR Audits
A fully compliant GDPR audit that meets the requirements of the Information Commissioners Office (ICO).
Quality Assessments
Law firms have a range of quality kitemarks, including Lexcel, SQM (Specialist Quality Mark) and CQS, all of which require preparation to ensure the Firm is compliant with the requirements of the standard. It is significantly better to highlight issues before an assessor does and we will work with the Firm to ensure they are ready and prepared for the audit, whether that is a re-accreditation or renewal.
Contact Our Team
To ask any questions about the Regulation and Compliance Office and how we can support your Law Firm, please call us on 0203 985 8550, complete the online enquiry form below, or email us info@regulationandcomplianceoffice.co.uk