Compliance Factsheets and Guidance Notes

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Up To Date Compliance Information

One of the main elements of the Infolegal Guidance Hub is the series of Factsheets and Guidance Notes that are available on a wide range of regulatory and compliance topics.

Regularly updated, all are available in Word and PDF formats and can be easily incorporated into your firm’s own materials or simply distributed to staff as standalone documents. Many are accompanied by templates and precedents or tie in with issues covered in the Office Procedures Manual.

Regulatory Compliance Factsheet Information

The Factsheets and the Guidance Notes serve specific but different purposes:

These normally deal with a single regulatory topic, and are designed to explain the main aspects of regulation that you are likely to encounter from time to time and to provide an overview of them.
Guidance Notes
These are intended to be more specific and practical and are designed to take you through the practical steps involved in a number of key regulatory processes or to provide more in depth information on a particular point than is to be found in the Factsheets.

In addition Infolegal produces monthly Compliance Bulletins / Newsletters addressing matters topical at the time of their issue. Unlike the Factsheets and Guidance Notes they are not updated and effectively represent a snapshot of that particular topic as at the date of the Bulletin.

Topics covered by the Factsheets and Guidance Notes include:

  • Money laundering and financial crime,
  • Data protection,
  • Cybersecurity,
  • Business continuity planning,
  • Working from home,
  • Issues for the COLP and COFA,
  • Billing, consumer contracts and retainers,
  • Accounts,
  • Equality and diversity,
  • Lexcel accreditation,
  • Conflict,
  • Confidentiality and disclosure,
  • Disciplinary processes,
  • Risk management,
  • Vulnerable clients,
  • Complaint handling,
  • Introductions and referrals,
  • Transparency,
  • Financial Services,
  • Recording telephone conversations,
  • Undertakings,
  • SRA Standards and Regulations, and
  • Client care.