Annual Retainers
A range of packages to suit your compliance needs – providing solutions to all regulatory and ethical compliance duties, or AML-compliance only, from monthly compliance newsletters through to annual retainers offering continuous policy and procedure maintenance, monthly meetings and off-site helpline service. Please contact us for more details of the various packages we offer.
Training
- The preparation of presentations and delivery of training sessions to managers and employees on a variety of compliance-related topics – price on application.
Current topics include the following titles:- An introduction to the SRA for non-qualified staff
- SRA induction training – all levels
- SRA Compliance Updates – all levels
- AML introduction – all levels
- AML update training – all levels
- SRA Accounts Rules – keeping client money safe – accounts teams and all levels
- Conflicts and confidentiality – exploding the myths – all fee earners
- Client care and vulnerable clients – all fee earners
- Equality and diversity awareness – all levels
- Data protection and the GDPR – all levels
- Bribery Act Update –all levels
- Financial Services training – all fee-earners
- 1-2-1 training to deal with specific issues, identified needs, risks etc.
Compliance Checklists
DIY compliance checking – we provide you with our checklist which you complete yourself. The checklist provides you with guidance, reference to specific requirements, useful tips and suggested compliance solutions. Completion of the checklist will provide you with an assessment of your current compliance position. Each checklist costs £89.95 (plus VAT). For an additional fee of £150 (plus VAT) we provide you with feedback and recommendations in a tailored report based on your completed checklist. Current checklists offered are:
- Remote working
- Data protection
- Supervision
- Anti-money laundering risk management
- Website compliance
Other Services
- File audits to assess risk analysis and compliance in practice (for AML and regulatory compliance) – price on application
- Annual compliance reports for use by the compliance officers and money laundering reporting officer – price on application
- Any services necessary to deal with enquiries from the SRA and other stakeholders – price on application
- GDPR compliance projects and ongoing support – price on application
- Assistance with Law Society applications – e.g., Conveyancing Quality Scheme (CQS) and Wills and Inheritance Quality Scheme (WIQS) – price on application
- Creation of risk analysis and risk register materials – price on application
- SRA authorisation and application services – price on application
- Independent AML audit and report – price on application
- Independent regulatory compliance audit and report – price on application
If you don’t see what you are looking for, please get in touch and we can discuss your needs directly.