Our specialist areas

We are specialists in legal sector compliance, supporting your COLP and COFA to effectively fulfil their duties.

Many of our law firm clients have appointed COLPs and COFAs who are also busy fee earners or team leaders and so our services provide an ideal form of support. Whilst the responsibility of those roles cannot be delegated, we can work with those Officers on a regular or ad-hoc basis to ease the regulatory burden and enable them to focus on other tasks.

Our specialist services in the legal sector include:

• Responding to queries regarding the SRA’s Standards and Regulations, and other legal Codes of Conduct
• Investigating and responding to concerns regarding conflicts of interest
• Risk assessments on client inception
• Objectively dealing with client complaints, and liaising with the Legal Ombudsman
• Data gathering to aid with reporting obligations
• Assistance with maintaining breach records, file auditing, trend spotting and making recommendations for training and development
• Preparing risk and management reports, as required, and making best practice recommendations
• Preparing and maintaining risk assessments and records, including as Reg. 18 Risk Assessments (AML) and Records of Processing (data protection)
• Training on legal compliance, anti-money laundering and data protection
• Responding to regulatory concerns relating to anti-money laundering, data protection and Solicitors Accounts

We are often called to assist law firms with sporadic or regular file reviews and audits. Our impartiality can be a real asset to truly understanding compliance and quality practices undertaken in your firm and assessing their effectiveness.

We are experienced in offering data protection and anti-money laundering compliance support services to a wide range of regulated financial businesses, including insurance brokers, tax advisors and accountants.

Our specialist services and support include:

• Preparing a gap analysis and working to fill areas exposed with pertinent policies, procedures, and solutions
• Devising and delivering anti-money laundering procedures and client inception processes that are workable and concise
• Assisting finance teams on procurement and contract management
• Supporting sales functions in tendering, client inception and lawful marketing practice
• Drafting and advising on non-disclosure agreements and intellectual property rights

We have extensive in-house Counsel experience, meaning we are ideally placed to advise on a whole range of legal matters. Alongside our core sectors, we can support you on a subscription or ad-hoc basis for any legal and regulatory compliance services you require. If you are not sure what they are, do get in touch.

Our services and support include:

• Reviewing, advising and drafting commercial agreements, terms of business and other contractual documentation, including supplier terms and non-disclosure agreements
• Providing commercial and pertinent support on tender and procurement
• Reviewing, revising, or drafting policies, controls and processes
• Working with operational staff to put in place effective standard operating procedures that provide real value and protection