Policies and precedents for law firms

Risk Register

Breach Register

Compliance in an Hour

Compliance Plan

Indemnity in Favour of COLP/COFA

Risk Assessment Questionnaire

Anti-Money Laundering and Counter Financing of Terrorism Compliance Policy

Anti-Money Laundering Customer Due Diligence Form

Anti-Money Laundering Employee Screening Policy

Anti-Money Laundering Firm Wide Risk Assessment Questionnaire

Anti-Money Laundering Non-UK Company/LLP Enquiry Form

Anti-Money Laundering Politically Exposed Persons Questionnaire

Anti-Money Laundering Client and Matter Risk Assessment

Guidance for Anti-Money Laundering Officers

Independent Audit and Review of Anti-Money Laundering and Financial Crime Risks

Money Laundering Internal Report Form

Source of Funds and Source of Wealth Questionnaires

Business Continuity Management Policy

Business Continuity Management Policy Supporting Documents

Business Planning

Corporate Social Responsibility Policy

Financial Management Policy

File Review Policy

Marketing Plan

Outsourcing Policy

Outsourcing Policy Supporting Document

Risk Management Policy

Supervision Policy

Third Party Services Procedures

Third Party Services and Procedures Supporting Documents

Complaints and Reporting Policy

Consumer Contracts Briefing Sheet

Client Care Letter

Client Care Policy

Client Care Policy Supporting Documents

Conditional Fee Agreements and Damages - Based Agreements Note

File and Case Management Procedures Manual

Terms of Business

Anti-Bribery Policy

Anti-Bribery Policy Supporting Documents

Anti-Facilitating Tax Evasion Policy

Anti-Facilitating Tax Evasion Policy Supporting Documents

Conflicts Policy (Commercial)

Conflicts Policy (Private Client)

Digital Identify Process Verification Policy

Environmental, Social and Governance (ESG) Policy

Ethical Values Policy

Gifts Policy

Insurance Distribution Directive Policy

Mortgage, Property and Registration Fraud Risk Assessment - Sale and Purchase

Sanctions Checks and Risk Assessment Form (Matter-Level)

Sanctions Firm Wide Risk Assessment

Sanctions Policy

SRA Transparency Rules Pack

Transparency Spreadsheet

Whistleblowing Policy

Equality, Diversity and Inclusion Policy

Flexible, Remote and Hybrid Working Policy

Flexible, Remote and Hybrid Working Policy - Transitional Version

Flexible, Remote and Hybrid Working Policy Supporting Document

Flexible, Remote and Hybrid Working Policy Supporting Document - Transitional Version

Health and Safety Policy

Health and Safety Policy Supporting Documents

Learning and Development Policy

Learning and Development Policy and Supporting Documents

Mental Health and Wellbeing Policy

Mental Health and Wellbeing Policy Supporting Document

Menopause Policy

Menopause Policy Supporting Document

Performance Development Policy

Performance Development Policy Supporting Document

People Management Procedures

People Management Procedures Supporting Document

Remote and Hybrid Working Checklist - Employee

Remote and Hybrid Working Checklist - Employer

Accepting, Storing and Processing Cardholder Data Policy

Bring Your Own Device Policy

Data Protection Breach Reporting Procedure

Data Protection Policy

Data Protection Policy Supporting Documents

Data Subject Access Request Policy

Email Policy

Information Asset Register Spreadsheet

Information Management and Security Policy

Information Management and Security Policy Supporting Documents

Retention and Disposal Policy

Secure Desk Policy

Social Media Policy

Website Management Policy