Compliance Documents and Precedents

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Compliance Documents Precedents and Templates

A key aim of the Infolegal InfoHub is to provide users with access to the various regulatory and compliance documents that they will require in order to satisfy not only the SRA requirements but also those of others such as:

  • The Law Society’s Lexcel quality standard,
  • The procedural elements of the Law Society’s Conveyancing Quality Scheme,
  • The Specialist Quality Mark, and
  • The Legal Aid Agency’s contract.

This is achieved in two main ways – through the template Solicitors Office Procedures Manual and by means of the various standalone precedents and templates.

solicitor practice management documents templates retainer letter

The InfoHub provides a range of compliance documents and precedents including retainer letters, cybersecurity policies, data protection templates, money laundering forms, referral agreement, complaints handling precedents, residual balance documents and much more besides.

Whilst some of the compliance documents such as the retainer letters and cybersecurity precedents are entirely standalone, others such as the data protection template letters, documents and policies are designed to be used in conjunction with the guidance notes whilst others can be used in conjunction with the Office Procedures Manual.

Supplied in Word format, the compliance documents and precedents can be downloaded by all members as often as they wish and are adapted easily to suit the precise requirements of a particular firm.

If it chooses to do so, the Firm can upload those of the compliance documents that it has adopted to the Firm Information section of the Infolegal InfoHub where selected personnel can access it along with other information about the firm.

The documents and precedents we offer include:

Retainer Letters

20 draft letters dealing with contentious, non-contentious and legally aided matters including company, commercial, employment, property and wills. There is also a retainer letter checklist and draft terms of business.

Anti-Money Laundering

These include a Risk Assessment Form, a draft AML Policy, forms relating to Client Identity, Source of Funds and other forms, and draft text on the use of client identity evidence for CDD.


These address a number of cyber-related areas including emails, safe-browsing, password use, social media, clear desk policies, BYOD, information management, data breach, mobile working and security incident reporting.

Data Protection

The precedents here deal with the more common areas likely to be encountered including subject access requests, legitimate interest assessments, data processing agreements, data collection and analysis forms and a website privacy policy.

Other Precedents

These include precedents dealing with residual client balances, referral agreements, complaints handling, transparency checklists, telephone call recording, business plans and COLP/COFA terms of reference.