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