File reviews and compliance audits provide law firms with a mechanism for ensuring the firm is compliant with its regulatory obligations, as well as identifying learning and development needs. Those firms that are Lexcel or CQS accredited, it is a key requirement of the accreditation to conduct regular file reviews.
Legal Compliance Consultants can assist firms by implementing a system for file reviews and conduct onsite independent file review and compliance audits. This would check whether a firm’s internal controls and processes designed to ensure compliance with the SRA Code of Conduct and the quality standards of Lexcel or CQS are being followed; and to identify any shortfalls. Following the review, firms will be provided with a detailed audit report setting out any compliance issues and trends identified, together with any recommendations to be implemented.
Our File Review and Compliance Audit is tailored to suit a firm’s individual requirements and can be conducted on a monthly, quarterly or annual basis.