About Us
Our Services
Our services include:
Compliance
Provision of risk, regulation and compliance solutions to ensure each law firm is and remains compliant with the expectations of the Solicitors Regulation Authority (SRA), including all regulations and legislation that impact law firms. Our Compliance solutions are split into 3 distinct areas:
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- Prevention – Implementation of effective and proportionate compliance solutions including engagement with the SRA.
- Investigation & Defence – Assisting with the analysis and investigation of regulatory breaches and/or defending a Firm’s position if the SRA commences an investigation.
- Prosecution – Defending the more serious matters where the SRA has taken enforcement action.
Consultancy
A range of consultation solutions to strengthen and improve our clients’ business or to provide specific project-led advice and support, including implementation where appropriate. Our Consultancy covers:
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- New Firm Creation and setup.
- Strategy and Planning – financial and non-financial.
- Management and Owner Support.
- Project-based initiatives and tasks.
- Exit Planning and Succession.
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Risk Management
Whether working directly for a client or indirectly, through a connected business (such as a professional indemnity insurer) provide risk management guidance and support drawn from our extensive experience and knowledge. This includes:
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- Details analysis and review.
- Risk controls.
- Reporting
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