Legal Compliance Health Check

Legal compliance health check - go beyond complianceIn this tough environment, it’s hard enough for legal businesses to keep on top of retaining and securing clients and carrying out your day to day roles without having to worry about a whole new regulatory regime.

Outcomes-focused regulation has changed the game. It is now essential to be more strategic and use your people and processes to ensure legal compliance. This comes at a cost to your business –  in monetary terms but also in terms of your valuable time and risk.

We can help to protect your business in this new regulatory landscape allowing you to focus on the core aspects of running your business and keeping your clients happy and protected.

We will work alongside your COLP and COFA giving them the support they will surely need in these uncertain times.

 What does it involve?

 A 1-3 day (depending on the size of the firm) on-site in depth legal compliance and process health check covering:

  • A detailed review of your policies, procedures and systems against the various regulatory requirements, starting of course with the Code of Conduct 2011.
  • The review can also be conducted against quality accreditation such as Lexcel, CQS and ISO9001.
  • Discussions with compliance team and other key people.
  • A comprehensive report and action plan highlighting the requirements needed to give you maximum protection.
  • To give you a starting point, we will also include a selection of the most prominent compliance documents drafted specifically for your business.


As always, the cost will depend upon the actual requirements but as a guide:

  • 1-5 partner firm at one location         £750.00
  • 5-15 partner firm and/or 3 locations   £1,500.00
  • 15 plus partners and/or 3 locations    £2,250.00

Travel will be charged in addition.

 Case Study

A 7 partner firm operating across 3 practice areas from two offices wanted to ensure that they were prepared for the COLP and COFA responsibilities which came into force on 1 January 2013. The size of the firm meant that both the COLP and COFA had substantial other responsibilities and wanted to ensure that they could maintain their regulatory requirements in the most cost effective manner whilst at the same time  ensuring that the compliance solution was bespoke and fit for their needs.

 The Result

A 2 day legal compliance health check took place and the resulting report reassured the firm that they had the majority of requirements in place. Suggestions were made within the report which once adopted actually streamlined many of the systems and processes. An action plan to bring and keep the firm up to date on some of the regulatory requirements has been adopted with the help of Beyond Compliance Limited. On-going quarterly audits are being carried out as additional assurance.

What the client said:

“Having Beyond Compliance’s help in bringing us up to speed on compliance was invaluable and very reassuring. The review also prompted us to change some of our processes which has made life much easier for our fee earners who are now working smarter.  We have also found the on-going auditing work really helpful in keeping us on track.”