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Compliance Health Check

HomeWelcome to Financial Eye / Compliance Health Check

Compliance Health Check

Thank you for taking the time to visit our website. Please fill in the information below to complete your Compliance Health Check.

Contact Details

Name *

First

Last

Email *

Telephone Number *

Firm's Name *

Firm's SRA ID *

1. Residual Balances

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How many matters do you currently have which have Residual Balances? *

What is the total value of your Residual Balances? *

How many fee earners have left your practice during the past 3 years that still have Residual Balances allocated to them?

2. Interest Policy

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Have you updated your Interest Policy in the past 12 months? *

What is the de-minimus level of interest you pay clients for monies held in client account?

3. Banking Relationships

Do you have more than one banking relationship for your Client and Office Accounts? (copy) *

4. COFA Matter File Review Program

Do you carry out and document quarterly COFA matter file reviews to ensure compliance with the Solicitor Accounts Rules *

5. Financial Stability

Would you like us to run and report on your firm’s current credit rating? *

6. Money Laundering

When did you last conduct an independent firm-wide audit of your AML Policies and procedures *

7. Risk Registers

Which registers do you currently have in place? Check all that apply: *

Reportable Breaches
Non-reportable Breaches
Data Breaches
Complaints
Declined Instructions
Charitable Donations
Bank Accounts
NCA Register of SAR Reports
Non-standard Undertakings

8. Website Compliance

Do you regularly update your website in accordance with the current SRA guidance on pricing transparency? *

What other key policies are published on your website for compliance purposes? Check all that apply: *

Complaints Policy
AML Policy
Privacy Policy
Safeguarding Policy
Terms of Business
Modern Slavery Statement
Regulatory Information
Cyber Security Statement

GDPR Agreement *

By clicking on submit, we will capture your first and last name, email address and telephone number. We will use this information only to reply to your enquiry. Please tick the box to confirm you consent to us using your data in this way.

ABOUT FINANCIAL EYE

Financial Eye was formed in 2013 to meet the challenges faced by COFAs in relation to the SRA Regulations. Financial Eye are experienced experts in the field of business advisory, risk management and compliance, specifically in the legal sector.

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