Compliance is a mine field – ACT can assist you in navigating to a safe outcome.
Many firms do not have a Compliance Department, but it is vital that you are protecting yourselves as individuals, protecting the firm and protecting the employees and the client.
Whether you require a one off consultancy to review your current processes and systems or an ongoing arrangement, ACT are here to assist.
Assessments and Accreditations
Accreditations a great way of ensuring your firm’s standards are achieved and not only keeps your PII costs down but provides clients with the confidence with the services you are providing. When accreditations are achieved and maintained, it creates marketability therefore giving you and your firm the potential to increase revenue and reduce overheads.
ACT are here to assist you with the process and implementation starting off with a review of your policies, plans and procedures. We are able to provide training on any aspects, for example Lexcel regardless of the size of your firm and the disciplines you practice.
ACT will ensure all your employees are ready for any interviews and can provide training workshops in the lead up to your assessment.
Once your firm obtains its accreditation, ACT can assist with the review process and ensure that your firm maintains the high standard required to retain its accreditation.
Whether it’s a one off consultancy or an ongoing retainer, ACT can assist.
SRA Code of Conduct
The SRA Code of Conduct can seem like a minefield. ACT can assist in the following:
Conflicts of Interest
Financial and Business Management
Information and Communications Technology
Anti Money Laundering
Bribery Act Requirements
Regulatory Reporting Requirements
Monitoring and Review of Compliance
ACT appreciate how much time can be taken in conducting file reviews. We are able to offer a service to conduct your file reviews which not only free you from the time constraints you face, but offer an independent review in line with your own procedures. This service can be done either on or off site, whichever suits your business requirements.
ACT will conduct the file review to ensure that your firm are maintaining a consistent approach, to ensure you obtain reaccreditation and peace of mind for your COLP and COFA.
In the event that ACT identify any issues or non-material breaches, we offer to provide assistance in remedial action required. We will then assist to the conclusion of remedial action being signed off.
File reviews are essential to evaluating the firm and identifying any trends or risks early on. It is equally important to provide positive feedback of what all your staff are doing well!
At ACT we believe that Training is absolutely vital for any firm to succeed. Our belief is to continually train and develop employees so that you enable them to conduct themselves in the way that your firm require. It is your standard, culture and belief that make your employees who they are, by investing in your employees with training will minimise risk, increase profitability, engender the culture your firm believe and retain your staff.
Train and retain your employees so that they don’t want to leave you and embed your values to keep your company standards high.
ACT offer workshop training session as well as one to one mentoring and coaching. We will help you in evaluating any gaps in your workforce and bring them to the standard you require.
Whether a one off or an ongoing arrangement, ACT can assist. Please see further below for our current training courses.
Time taken to deal with complaints can be excessive and costly. ACT appreciate how much management time is used in communicating with the complainant, investigating the complaint, drafting a formal response and managing the complaint. If a complaint continues to LEO or ADR this can then eat into more management time, we will deal with complaints to their conclusion.
ACT offer a Complaint Handling service, again whether you require a one off independent review of a complaint or for ACT to be your designated complaint handlers, we are here to assist.
We are able to identify any trends from an early stage and work with you to train and develop if required.
ACT have complaint handling workshops or a one on one training session with your complaint handlers. We can assist in the review of your processes and implementation of new systems.
Case Management Consultancy
ACT have experience in various Case Management Systems. If you are looking to improve your existing case management system or considering a new system, ACT can guide you through the workflows and requirements from a compliance aspect.
Please email email@example.com for further details.
ACT are available to assist with COLP/COFA support on an one off or ongoing basis. By alleviating the pressures involved in both roles, we can work with you for a bespoke service, with Regulatory Consultants on hand to advise on any issues you may face. The benefits include:
saving time and money
possible reduction in PII premium
consistency and objectivity
With over 50 years of legal experience between the team, spanning different roles within a law firm and disciplines of law, we are equipped to give independent advice, support and training to individuals and firms
I have over 25 years experience in the legal sector, having commenced employment following college at a trade union firm where I worked my way up through the ranks and have since worked for top city ‘magic circle’ firms.
This has given me a wealth of experience and an opportunity to build on my knowledge. Most recently I have been Head of Compliance for a 23 office Law Firm in London and the South Coast. Having been Head of Compliance for over 400 staff and 23 involves meticulous organisation and I thrive on resolving issues and queries.
My approach is to train and retain employees empowering them to use their skill set and achieve their individual goals and those of the company. With experience of accreditations such as Lexcel, I am available to assist to ensure you obtain and retain any accreditations.
I can assist from with all processes and offer bespoke consultancy for your requirements and best practice.
My social activities include spending time with my husband and family, travelling, socialising, singing and pub quizzes.
Assessment and Auditing
Inductions – Appraisals – Exit Interviews
Business and Strategic Planning
Compliance Support: Risk Registers/Plans, Reporting,
Leadership and Teambuilding
Management and Supervision
Review and Consultancy Policies , Procedures and Plans
Current Training Courses
ADR For Consumers
Anti-money laundering and Bribery Act 2010
Bogus Firms – How to Protect Yourself/The Firm
COLP and COFA duties and responsibilities
Compliance for Support Staff
Conflicts of interest
Equality and diversity
Information and communications technology
Lexcel Version 6
The SRA Accounts Rules 2011
The SRA Handbook 2011
Further services and training available on request
ACT are here to offer bespoke services to fit your Practice, get in touch to see how we can work together to resolve your compliance needs