COLP & COFA SERVICE

LATEST NEWS: August 2019

An all-new SRA Code of Conduct is due to come into force in November 2019. We have updated all our precedents to reflect the new rules.

This service provides precedents and updating, so you can focus on your practice, without worrying that there is a compliance issue you have missed.

PRECEDENTS

The Code requires firms to demonstrate clear and effective governance. Lexcel and other quality standards require rigorous documentation. We provide what you need, including:

• compliance in an hour – overview
• risk assessment questionnaire
• compliance plan
• financial management policy
• risk management manual
• precedent engagement letters and terms of engagement
• billing information
• anti-money laundering policy and procedure
• complaints policy
• whistle-blower and reporting policy (required by Indicative Behaviour 10.10)
• equality and diversity policy
• file reviews policy and precedent
• referral arrangements (practice note and precedents)
• conflicts policy and procedure
• gifts policy (including anti-bribery policy)
• outsourcing policy and precedents
• business continuity policy
• business planning (including precedent business plans)
• monitoring client satisfaction
• job descriptions and person specifications
• performance management & appraisal policy
• training and development policy

UPDATING

We update the precedents, and send you bulletins on regulatory changes throughout your subscriptions. Leave the worrying to us, including for all the changes required by the new SRA Code of Conduct, due April 2019.

How about training your staff about conduct issues and risk management? See our companion online training service on the SRA Code of Conduct.  Discounts apply if you take both services.

PRICING