Examples of compliance advice and training given to firms:

Face to face file audits for Partners in London office of US Firm

Regular file reviews for Residential and Commercial Conveyancing files using a Lexcel checklist

Creating an information barrier to protect client confidentiality for a firm acting for two different clients competing for the same objective

Detailed advice and precedent documentation to enable firms act for Buyer and Seller under SRA Conflicts of Interest restrictions

Training and advice to large London Private Client practice on Data Protection and GDPR obligations

Advising client on setting up separate business and implications on AML, DP and Terms of Business requirements

Training and advice to commercial firms in London and Leeds on AML/CTF obligations

Advising several firms on Firm-wide risk assessments under Regulation 18(1) of MLR 2017

Update training for firms and individuals on SRA Standards and Regulations plus revisions to policies and procedures

Office Manual updates and revisions

Preparing firms for Lexcel assessments

Advice to firm on DP implications of new business and preparing a Data Protection Impact Assessment

Detailed advice and guidance to firms’ COLP, COFA, MLRO and MLCO

Chairing and minuting compliance meetings

Independent complaint handling for firms

Advice to firms on PII renewals and completion of proposal forms

Guidance on applications to the SRA for new authorised bodies and dealing with queries