Policies & Procedures

Rule 8 of The SRA Authorisation Rules 2011, requires those firms seeking authorisation or already authorised to have suitable arrangements in place to ensure that everyone within the firm complies with the SRA’s regulatory arrangements. Thus, emphasising the responsibility of firms to ensure that they have adequate systems and controls in place to meet this requirement. A comprehensive Office Procedures Manual is the key step towards demonstrating that suitable arrangements and a Compliance Plan is in place.

Legal Compliance Consultants can provide firms with a comprehensive Office Procedures Manual tailored to the size and nature of their firm. The Office Procedures Manual complies with the requirements of the current version of Lexcel. In the event a firm wishes to apply for Lexcel, CQS or SQM in the future they can be confident that they are already meeting the required standard.

We can also assist firms who already have an Office Procedures Manual but require a new or revised policy and procedure. This would take in to account new regulatory changes or changes within the firm.

Our comprehensive Office Procedures Manual includes the following policies and procedures which are also available as individual policies (Price available on application):

  • Anti Bribery policy
  • Anti Money Laundering Policy and Procedure
  • Business Continuity Plan
  • Business Review and Strategic Plan
  • Client Care Policy
  • Client Satisfaction Procedure
  • Complaints Handling Policy
  • Corporate Social Responsibility Policy
  • Email Policy
  • Equality and Diversity Policy
  • File Management Policy
  • File Review Procedure
  • Financial Management Policy and Procedure
  • Flexible Working Policy
  • Health and Safety Policy
  • Information Management and Security Policy
  • Internet Access Policy
  • Learning and Development Policy
  • Outsourcing Policy
  • Performance Management Policy
  • Property and Mortgage Fraud Policy
  • Recruitment Selection and Progression Procedure
  • Reporting and Monitoring Policy
  • Risk Management and Supervision Policy
  • Signposting and Referral Policy and Procedure
  • Social Media Policy
  • Undertakings Policy and Procedure
  • Website Management Policy
  • Whistleblowing Policy

This is not an exhaustive list but if a specific policy is required which is not listed above, Legal Compliance Consultants will happily accommodate the firm to provide a bespoke service.

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