Compliance Support

Compliance Designed to Meet your Needs

In today’s busy ever changing regulatory environment, do you have time to make sure you and your business remain compliant, whilst at the same time providing a service that is ” competent and delivered in a timely manner ” its a lot to do!

Not only does this fall to COLPs but as a manager you are responsible for compliance of your firm with the Codes of Conduct for Solicitors and Firms.

In addition to having to have effective processes and procedures in place, you must demonstrate that you are maintaining regulatory requirements throughout the firm along with being able to show you have an ongoing monitoring system in place to maintain compliance.

Your Duties:

As a regulated firm you have duties under the Code of Conduct for firms which include:

Having effective governance structures, arrangements, systems and controls in place that ensure:

1. 01Comply with all the SRA’S regulatory arrangements, as well as other regulatory and legislative requirements that apply to you.
2. 02Your Managers and employees comply with all regulations.
3. 03Compliance officers are able to discharge their duties.
4. 04Managers/ interest holder and those you employ do not cause or contribute to a breach of the regulatory arrangements.
5. 05You keep and maintain records to demonstrate compliance with your obligations.
6. 06You identify, monitor and manage all material risks to your business.

Identifying and managing risk, keeping up to date with what is required is daunting task involving a lot of work, but a risk that can have serious consequences

CRCS Legal provides you with a tailored Compliance Solution to your risk management, by carrying out a thorough review of your processes, identifying what you need and providing tailored systems and procedures that can complement and integrate with your existing controls to ensure you remain compliant with the SRA standards and regulations.

We have the experience to deliver Compliance Solutions for your firm, having worked in this field for a number of years, helping lots of firms remain compliant.

Whether you are a new firm and need help with setting up your Compliance Solution, by providing systems and processes that are compliant. It may be that you need support in dealing with specific areas of compliance or want an independent review of existing processes to improve your systems, CRCS Legal can support you to ensure you are meeting your regulatory expectations.