Compliance and risk management are two sides to the same coin and essential to any business. All firms have their professional, regulatory and legal obligations, none of which should be ignored.  

Risk management enables you to identify what polices and procedures are needed.  Compliance is the implementation of those polices. 

This is not about rules and regulations just for the sake of it.  The escalating cost of indemnity insurance has created a greater need to  demonstrate a more proactive approach to reducing your firm’s exposure to risk.  Greater attention to risk management not only reduces that exposure in practice, but can also influence your insurance premiums.  In any event, you will also run your business more efficiently and effectively.  

To help you achieve all this we can:

Review your existing management of risk to ensure compliance with the requirements of the Solicitors Regulation Authority (SRA), to keep up to date with Lexcel and to maintain compliance with the GDPR.

Conduct staff surveys to assess their knowledge and understanding and identify training needs. 

Report and make recommendations for change where there are gaps in your compliance

Review your policies and procedures for compliance  with the Solicitors Regulation Authority (SRA) Code of Conduct and the Law.

Help you make those changes including training personnel.

Keep you up to date with ongoing changes in the regulations that effect you.

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Most firms have an Office Manual or Staff Handbook, but too many are ignored by many employees! 

A well-presented bible of your firm’s policies and procedures that can be accessed easily, should be a vital part of setting out your firm’s standards of performance and behaviour.   

That reliable document can then be used as an important training tool, laying out clear employment guidelines for staff and managers.  Importantly for audit purposes, it demonstrates your fulfilment of required compliance standards.  

To help you, we can:

Review existing policies or write and introduce new policies that clearly describe your working practices and ensure compliance with employment law, professional rules, accreditation standards and Best Practice. 

Inform you of regulatory and compliance changes; also updating your policies accordingly.

Provide training to ensure your people understand and follow your policies.

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Lexcel is the Law Society’s own "Best Practice" management standard; only awarded to firms or in-house departments which meet the highest management and customer care standards.   

Accredited practices undergo rigorous independent assessment every year to ensure they continue to meet required standards of excellence. 

Lexcel provides a proven framework to support your efforts to develop your business in key areas - to create more competitive advantage, improve client care, introduce effective risk management, regulatory compliance and all round effective management.  

Lexcel is more than just a logo that looks good on your website or publicity material.  Genuine commmitment to the adopting and applying these principles will result will in a more sustainable business in the face of all the market’s changes and difficulties. 

Whether you already have Lexcel or are thinking about applying, we can help you to:

Review existing systems and procedures, advise on changes needed to meet the standard. 

Create new policies and procedures to fill any gaps.

Guide and assist when introducing changes to staff, including training.

Introduce Cyber Essentials for IT security.

Deal with your application, liaise with the assessment boards, negotiating the costs which can vary between Boards.

Provide ongoing support 

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The initial rush to meet the GDPR deadline has passed so it would be good to review where you stand now.  

Our specialist law firm consultants can provide an objective and experienced view on what gaps in compliance have yet to be filled. Perhaps more importantly, also explore how you can develop the framework for management of personal data for the wider benefit or your business.

How can you improve and make more use of the better legal and business procedures, data, e-security and legal technology that you can count on a little more now than before to develop new business opportunities and stronger business relationships?

With the benefit of real-world use of the GDPR procedures you establish under the pressure of a compliance deadline, we can help you:

Take a fresh look to ensure all gaps are filled or planned for.

Ensure that personal data management procedures are working

Check that your GDPR data mapping covered all the areas it should

Review your risk analysis

Refine current data management procedures 

Focus on areas of the areas where people have not engaged effectively

Complete Data Impact Analyses for areas where policy and procedures need more attention

Ensure you are making best use of legal technology to automate as much of compliance as possible

Provide additional training where needed - both face-to-face and e-learning

Tighten up on data security as gaps become more apparant

Complete data cleansing to ensure that you have reliable data to work with

Plan how to capitalise on that data to create new business opportunities and better client relationship management.

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Many firms hold the Law Society’s Conveyancing Quality Scheme (CQS) and the Wills and Inheritance Quality Scheme (WIQS).  

These quality marks can be essential to  guarantee access to work. 

As with Lexcel we can provide support and guidance to ensure you achieve  the standards necessary to gain and then maintain these accreditations.  

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