Policies and precedents for law firms

This article lists the policies and precedents for law firms, helping you quickly find the documents you need for compliance, training, or internal reference.

📌 Note: Policies and Precedents for Law Firms is a separate library to GRC for Law Firms and is purchased as a standalone library.

The table below lists the current content available through the Policies and Precedents for Law Firms library.

Topic area	Title
Anti-money Laundering	Anti-Money Laundering and Counter Financing of Terrorism Compliance Policy Anti-Money Laundering Client and Matter Risk Assessment Anti-Money Laundering Customer Due Diligence Form for Non-Individual Entities 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 Guidance for AML Officers on How to Comply with the Money Laundering Regulations 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
Client Care and File Management	Client Care Letter Client Care Policy Client Care Policy Supporting Documents Complaints and Reporting Policy File and Case Management Procedures Manual Terms of Business Vulnerable Clients and Safeguarding Policy
General Management	Business Continuity Management Policy Business Continuity Management Policy Supporting Documents Business Planning Corporate Social Responsibility Policy File Review Policy Financial Management Policy Financial Management Policy Supporting Documents Outsourcing Policy Risk Management Policy Supervision Procedures Third Party Services and Procedures Supporting Documents Third Party Services Procedures
Guidance for the COLP and COFA	Breach Register Compliance Officers – COLP and COFA Guidance Note Compliance Plan Indemnity in Favour of COLP/COFA Risk Assessment Questionnaire Risk Register
Human Resources	Equality, Diversity and Inclusion Policy Flexible, Remote and Hybrid Working Policy Health and Safety Policy Health and Safety Policy Supporting Documents Learning and Development Policy Learning and Development Policy and Supporting Documents People Management Procedures People Management Procedures Supporting Document Performance Development Policy Performance Development Policy Supporting Document Remote and Hybrid Working Checklist – Employee Remote and Hybrid Working Checklist – Employer
Information and Technology	Artificial Intelligence 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
Legal and Regulatory Compliance	Anti-Bribery Policy Anti-Bribery Policy Supporting Documents Anti-Facilitating Tax Evasion Policy Anti-Facilitating Tax Evasion Policy Supporting Documents Conflicts Policy Digital Identity Process Verification Policy Gifts Policy Mortgage, Property and Registration Fraud Prevention 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

Legal Learning Release Notes - November 2025

Legal Learning Release Note - February 2025

Legal Learning Release Note - March 2025

Legal Learning roadmap: March-July 2026

Legal Learning Release Notes - March 2026

Topic area

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