Until the Getting Started Wizard is live, use this guide to identify the information your firm needs to provide. When an option is presented, copy the option that applies and paste it into the policy, replacing the bracketed placeholder.
At a glance
Total customisation points: 11
Personalised fields (firm-specific text to insert): 8
Applicability toggles (choose which option applies): 3
Section: About this policy
[COLP] — Personalised Field (cross-policy)
Question: Who is the firm's Compliance Officer for Legal Practice (COLP)?
Guidance: Insert the name of the firm's COLP. The COLP has ultimate responsibility for all aspects of compliance within the firm.
[deputy COLP] — Personalised Field (cross-policy)
Question: Who is the firm's deputy COLP?
Guidance: Insert the name of the deputy COLP. This person acts in the COLP's absence for conflict decisions and other compliance matters.
Section: About this policy / 2. Policy statement
[firm name] — Personalised Field (cross-policy)
Question: What is the firm's name?
Guidance: Insert the full legal name of the firm as registered with the SRA.
Section 3.7 — Information barriers
[multiple offices or sites] — Applicability Toggle
Question: Does the firm operate from multiple offices or sites?
Guidance: Select whether the firm has multiple offices, and follow instructions where prompted.
Options:
Option A (Yes): For firms operating across multiple offices or sites, refer to the firm's information barrier procedures.
Option B (No): REMOVE the multi-site reference sentence from Section 3.7.
Section 3.11 — Property transactions
[conveyancing conflicts section] — Applicability Toggle
Question: Does the firm undertake conveyancing or property work?
Guidance: Select whether the firm undertakes conveyancing or property work, and follow instructions where prompted.
Options:
Option A (Yes): This section applies to firms carrying out conveyancing work.
Option B (No): REMOVE Section 3.11 and its subsections.
Section 4.1 — Conflict checks on new matters
[conflict checking team] — Personalised Field
Question: Who runs the firm's conflict checking function? Include the team name or individual's name and contact details.
Guidance: Insert the name and contact details of the person or team responsible for carrying out conflict checks. This may be a dedicated conflicts team, a compliance assistant, or a named individual.
[conflict check response timescale] — Personalised Field
Question: Within what timescale must the conflict checking team respond to a conflict check request?
Guidance: Insert the firm's internal timescale for responding to conflict check requests. Examples: within 24 hours, within 2 working days, same day for urgent matters.
[conflict notification frequency] — Personalised Field
Question: How frequently does the firm circulate conflict notifications to staff?
Guidance: Insert the frequency for circulating details of all new matters opened to staff for review. Examples: weekly, fortnightly.
Section 4.2 — When a conflict is identified
[conflict recording timescale] — Personalised Field
Question: Within what timescale must a conflict arising during a matter be documented on the file?
Guidance: Insert the firm's required timescale for documenting a conflict decision and rationale on the file. Examples: within 24 hours, within 2 working days.
Section 4.3 — General advice files
[general advice files policy] — Applicability Toggle
Question: Does the firm open general advice files for existing clients?
Guidance: Select whether the firm uses general advice files, and follow instructions where prompted.
Options:
Option A (Yes): General advice files can lead to conflicts going undetected. General advice files may only be used where we provide ongoing legal advice in circumstances where there are no adverse parties. If giving advice under a general advice file and an adverse party is involved, ask [conflict checking team] to carry out a conflict check for that party. General advice files must never be used for contentious or transactional work.
Option B (No): The firm does not open general advice files. All client work must be opened as a new matter with a full conflict check.
Section 4.6 — Training
[conflicts training frequency] — Personalised Field
Question: How frequently does the firm provide conflicts of interest training?
Guidance: Insert the frequency of mandatory conflicts of interest training. Examples: annually, bi-annually, on induction and annually thereafter.