File Reviews

File reviews - Regulation, Risk Management, and Meeting Standards

  • 6 ratings, 247 users enrolled

Course Overview

Whether you use file reviews to demonstrate your regulatory compliance, to help manage risk, or to meet quality standards such as Lexcel, your file review system should work together to help you identity problems, manage them, and provide assurance. This webinar looks at the various regulatory requirements and quality standards imposed on law firms and how an effective file review system can help you demonstrate compliance. Looking at how COLPs, COFAs, AML Reporting Officers, and senior technical legal and accounts staff can work together; this webinar provides the tools to help you build file review into a powerful risk management system.

Written from a compliance angle, the webinar and the accompanying slides examine file reviews as an aid to compliance and risk management and look in detail at the requirements of the SRA, CLC, Lexcel and CQS.

The supporting notes provide real practical value with a set of example file review forms for you to tailor for use in your firm. Including reviews related to COLP, COFA, Fraud & AML, Management, and Accounts.

In addition, there are compliance related reviews for specific areas of law, and free form reviews, to which you can add your requirements for, or use to cover the quality of legal work.

What are the requirements?

  • Watch the recorded webinar and review the supporting documentation

Learning Outcomes

  • On completion of this course you will have received practical guidance and templates which will assist you improve your firm’s file review system, ensuring that comply with all relevant regulations and standards

What is the target audience?

  • This course is suitable for managers, partners, compliance staff, HR and practice managers


About Instructor - Katie Jackson

Katie Jackson is a consultant specialising in law firm compliance and regulation. A former Inspector for the Council for Licensed Conveyancers, Katie led and managed inspections of some of the largest conveyancing practices in the country. Prior to working for the CLC, Katie spent a number of years working in various inspection and policy roles for the Solicitors Regulation Authority, and Legal Services Commission.

Course Curriculum

Recorded Webinars

  • Webinar

Supporting Documentation

  • Slides
    26 Page


  • Price
  • £ 100