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Legal Compliance for Solicitors

Infolegal is one of the leading providers of regulatory, compliance and management support services and resources to solicitors in England and Wales.  We work with law firms of all types and sizes to ensure compliance with the requirements of the Solicitors Regulatory Authority (SRA) as well as providing expert and practical advice on issues including Anti-Money Laundering, Data Protection, Cybersecurity, and practice management.  Our directors and associates have been involved in solicitor regulation, compliance and management for many years and have an unrivalled knowledge of how these impact upon solicitors and those in legal practice.

Whether you are setting up in practice for the first time or an established firm, Infolegal can assist you with a wide range of issues including authorisation, anti-money laundering procedures, risk management, compliance audits, drafting a solicitors’ office procedures manual, data protection, cybersecurity and compliance with the SRA Standards and Regulations.  We can assist you in putting in place processes and procedures designed to assist you in attaining and retaining Lexcel, the Conveyancing Quality Scheme (CQS) and the Specialist Quality Mark (SQM) and can help you to address other issues in your practice including COLP/COFA support, the duties of the MLRO/MLCO, Transparency Rules issues and much more besides.

In addition to our bespoke consultancy services, Infolegal can also provide your firm with access to the unique Infolegal InfoHub – a comprehensive yet simple to use resource designed to help your firm address its compliance and regulatory requirements, including draft office procedures manuals and template documents, guides and factsheets on regulatory topics, online training courses and training management and a fully customisable information and regulatory management resource.  From just £60 per month* this is one of the most cost-effective ways to achieve compliance and ease the burden of regulatory management within your firm.

Setting Up in Practice

Setting up in practice need not be difficult, but you must ensure that you meet the SRA's criteria.
Let Infolegal help to guide you through the process.

Lexcel & CQS

Are you considering, or do you have, Lexcel or CQS?
Let Infolegal assist you in obtaining or maintaining the standards?

COLP/COFA Support

Compliance officers face an uphill struggle dealing with workloads and regulatory responsibilities. Infolegal can help to reduce that burden.

AML Compliance

AML compliance places onerous duties upon law firms. Let Infolegal help with the issues faced in complying with often complex regulations.

The complete solicitor compliance and management resource

Infolegal’s InfoHub is a comprehensive yet simple to use integrated compliance and management platform that takes the hard work out of routine regulatory and management duties and allows law firms to manage information and compliance more easily and effectively.

Created by lawyers for lawyers, Infolegal’s InfoHub combines a range of regulatory support materials – including an office procedures manual, training courses, precedents, checklists and guides – with fully customisable resources to assess, manage and record compliance and maintain firm-wide management information enabling them more easily to address SRA standards and regulations, gain and maintain quality standards such as Lexcel and CQS, and demonstrate regulatory compliance.

Managing Compliance for Solicitors

Coping with compliance and management can be an uphill struggle.  Not only are regulatory requirements becoming ever more complex and onerous but also communicating with and supervising those working remotely, or operating from another office, can be an additional challenge.

Despite the difficulties, firms are still required to have effective systems and procedures that can demonstrate at all times how regulatory requirements are, and have been, addressed.  Not only must they monitor, analyse and assess the risks they face but also they must maintain appropriate records of how and when they did so.

The Infolegal InfoHub is specifically designed to help firms to achieve that necessary compliance whilst at the same time helping to reduce the burden that this can entail.  By combining a wealth of regulatory information, training and guidance with a series of easy to maintain online records and assessments, the InfoHub can help your firm to ensure not only that it is compliant but also that everyone in the firm is able to meet their individual obligations and responsibilities.

Online Compliance Training

A key element in any firm’s compliance with regulatory requirements is ensuring that all personnel are aware of what is required of them.  Not only is it a requirement of the SRA Codes of Conduct that solicitors maintain their competence to carry out their role and keep their professional knowledge and skills up to date but having development, learning and training provisions is also required by both Lexcel (paragraph 4.3 and paragraph 5.13(e) in relation to AML) and CQS (at paragraph 3.4).

All subscribers to the Infolegal InfoHub have access to a range of training modules covering a number of regulatory, management and compliance related topics including anti-money laundering, financial crime, data protection, accounts, equality and diversity, cybersecurity and the retainer process – to name but a few.  Individuals within the firm can login to the courses in their own name and maintain records of the training they have done and how they have performed in accompanying tests.

In addition, the InfoHub provides firms with the option to appoint a training manager who can assign the modules as required within the firm, monitor the training undertaken by everyone and generally manage the whole training process.

Office Manual and Precedents

At the heart of regulatory compliance is the firm’s office procedures manual.  The aim should be to create a manual that not only accurately describes the practice, its processes and what it expects of everyone within the firm but which is also able to support the firm in relation to Lexcel, the Legal Aid Agency’s Specialist Quality Mark the Conveyancing Quality Standard and the SRA’s requirements in the Standards and Regulations.

The Manual is available in three formats:

  • a “sole practitioner” version intended to be used by those who practise completely on their own without colleagues or associates;
  • a “sole principal” version intended to be used by those who have at least one colleague/employee; and
  • a “firm” version aimed principally at practices with 2 or more partners/directors.

and has been designed to enable firms to deal with all of their compliance needs from one easy-to-use source.

Supporting the manual are a range of standalone precedents, checklists and templates.  These cover topics that include cybersecurity, data protection, retainers and terms of business, accounts, working from home and client care.

Managing Regulatory Compliance for Solicitors

In addition to providing firms with information, training and precedents relating to compliance, the Infolegal InfoHub also allows users to record, store and manage information about their firm and its processes, compliance, risks, data protection information, experts and suppliers.  These can be shared with colleagues as the firm sees fit.

The resources are specifically designed to assist those tasked with the responsibility of managing the practice such as COLPs, COFAs, MLROs and managing partners.  They assist them in a number of functions including:

  • carrying risk or legitimate interest assessments,
  • gathering information about undertakings, complaints, key dates, regulatory breaches and external interests,
  • performing firm-wide compliance checks, and
  • sharing information through the firm and assisting it with remote working.

Latest Infolegal Regulatory Articles

Below you will find some of our most recent articles.

More in-depth information about many of these topics is available to subscribers on the Infolegal Compliance Hub.


 

*  + VAT.  Price based on a sole practitioner membership.  Subscriptions are based upon the size of the firm and whether any additional services are purchased.