Checklists and Procedures
Often, dealing with regulatory and compliance issues is simply a question of ensuring that your firm has addressed all of the issues that are relevant to a particular topic and ensured that they do not present a risk to the firm.
Alternatively, in other areas it is the processes that the firm puts in place to deal with a particular situation that are vital.
To assist you and your firm in ensuring that you have addressed all of the relevant issues or put in place all of the necessary procedures, Infolegal produces a series of processes and checklists for you to use to help ensure compliance. This is continually being updated and augmented.
Often, these operate alongside of the Office Procedures Manual or form part of the Guidance Notes. In a number iof cases, however, they are entirely standalone.
Examples of Checklists and Procedures
Among the checklists and procedures included within the Infolegal Compliance Hub are:
- Compliance checklists covering:
- SRA Code of Conduct
- Conveyancing Quality Scheme
- Core Practice Management Standards
- The Specialist Quality Mark
- Legal Aid Standard Contract
- Information management and data protection checklists
- Checklists relating to individual topic areas including:
- Feesharing, and
- Complaints handling.
- Money laundering checklists.