Legal Policy List

Anti-Money Laundering and Counter Financing of Terrorism Compliance Policy

Written policy required under MLR 2017 explaining firm's AML/CTF procedures, containing mandatory information for employees in regulated areas to mitigate money laundering risks

Client Care Policy

Sets client care standards ensuring best possible service, covering vulnerability, confidentiality, reasonable adjustments, and complaints handling

Complaints and Reporting Policy

Establishes complaint handling procedures and staff obligations to report mistakes/misconduct, includes compliant Complaints Procedure and precedent wording

File and Case Management Procedures Manual

Comprehensive rules for file management to reduce claims and regulatory breaches, includes Lexcel requirements with precedent documents

Vulnerable Clients and Safeguarding Policy

Helps staff identify and meet vulnerable client needs, sets care standards, encourages empowering actions, includes identification checklist

Business Continuity Management Policy

Provides guidance on establishing strategies for continuing operations during major disruptions like fires, IT failures, and location-specific risks

Corporate Social Responsibility Policy

Informs staff of appropriate CSR activities across environment, community, and employee development areas

File Review Policy

Sets effective risk-based file review procedure for oversight, quality assurance, includes common issues/remedial actions and standard question set

Financial Management Policy

Establishes financial procedures ensuring SRA Accounts Rules compliance, includes precedent wording for bills and guidance on 'promptly'

Outsourcing Policy

Explains how firm manages and monitors outsourced activities, provider standards, and expectations

Risk Management Policy

Explains firm's risk management approach covering risk types, management systems, and communication of risk information

Supervision Procedures

Ensures adequate work oversight to verify policy compliance, check advice quality, and monitor staff progression and wellbeing

Third Party Services Procedures

Sets steps for instructing third parties on client matters, covering selection, client consultation, records, data protection, and conflicts

Equality, Diversity and Inclusion Policy

Establishes ED&I duties under Equality Act 2010, covering neurodiversity, pronouns, support networks, and implementation initiatives

Flexible, Remote and Hybrid Working Policy

Outlines flexible working permissions, request processes, expectations, and management of supervision, knowledge sharing, wellbeing, and safety for remote workers

Health and Safety Policy

Details firm's H&S obligations and procedures to prevent incidents, covering office safety, remote working requirements, and accident responses

Learning and Development Policy

Sets firm's L&D approach and employee expectations, includes SRA requirements and mandatory/optional training recommendations by practice area

People Management Procedures

Covers recruitment, inductions, development, progression, exits, plus HR requirements for holidays, absences, leave, and disciplinary procedures

Performance Development Policy

Explains performance development approach focused on growth opportunities, sets review procedures and frequency

Artificial Intelligence Policy

Sets acceptable/prohibited AI uses ensuring transparency, accountability, client confidentiality, and governance with glossary and tool reference table

Data Protection Policy

Protects data rights by informing staff of obligations, required procedures, and compliance systems for relevant legislation

Data Protection Breach Reporting Procedure

Sets guidance on what constitutes a personal data breach and establishes procedures to report, manage, and record breaches, includes template breach report form

Data Subject Access Request Policy

Outlines DSAR definition and internal response procedure, includes request form, acknowledgment letter, and processing summary

Email Policy

Provides guidance on business email usage to avoid misuse, covering sending/receiving, inbox organization, out-of-office, mobile access, and cyber security

Information Management and Security Policy

Ensures staff understand information management expectations and security procedures to reduce incident/breach risks

Retention and Disposal Policy

Provides guidance on data retention periods, record review processes, and disposal procedures ensuring data protection compliance

Secure Desk Policy

Informs staff of obligations to secure paper/electronic records with personally identifiable or confidential information when unattended

Social Media Policy

Framework for firm account management and staff personal account usage to protect firm and staff from unwanted attention

Website Management Policy

Informs staff of permitted/prohibited website content scope and website change request contacts

Anti-Bribery Policy

Explains Bribery Act 2010 offenses and risk-reduction procedures, covering reporting duties, whistleblower protection, third-party due diligence, and examples

Anti-Facilitating Tax Evasion Policy

Explains tax evasion and sets employee expectations to resist temptation and report improper behaviour, includes practice-specific examples and vulnerabilities

Conflicts Policy

Establishes conflict check obligations, procedures, evidence requirements, and actions when conflicts identified, tailored for private client/commercial work

Digital Identity Process Verification Policy

Sets alternative identity verification process based on HMLR digital standard achieving "Safe Harbour" through 4-stage process for conveyancing transactions

Gifts Policy

Establishes gift giving/receiving procedures as part of anti-bribery strategy, covering client gifts, family loans, supplier gifts, speaking fees, and entertaining

Mortgage, Property and Registration Fraud Prevention Policy

Assists CQS requirement 5.14 compliance, highlights fraud warning signs, prevention procedures, and reporting protocols for property/mortgage fraud

Sanctions Policy

Helps staff understand UK Sanctions Regime obligations with client screening requirements, enhanced due diligence triggers, escalation matrix, and licensing guidance

Whistleblowing Policy

Explains how employees report concerns about internal wrongdoing/malpractice, sets reporting circumstances, protections, and transparent disclosure process