Risk management audit checklist

27 January, 2018

Don’t wait for the worst to happen – use this audit checklist to determine and monitor whether your practice is at risk of a negligence claim. Introduction This audit checklist is a risk management tool for legal practitioners to determine and monitor whether their practice is at risk of a negligence claim arising from poor […]

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Key Risk Checklist: Electronic property transactions – office management

18 December, 2017

Electronic property transactions – office management checklist Office policy content Below is a list of issues to consider when writing your office policy and recommended responses. ☐  Who will hold a digital signature? The digital signature is embedded in a USB. Preferably only partners have digital signatures. ☐  How a digital signature’s USB and pin […]

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Key Risk Checklist: File transfer from another firm

20 November, 2017

  Client intake Comment or detail Complete the client intake checklist to establish if you should act for this client in this matter at this time (click here). Immediate file review  Comment or detail Conduct an immediate file review to determine: critical dates and relevant time limits outstanding issues next steps. Internal procedure  Comment or […]

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Key Risk Checklist: File transfer to another practitioner within the firm

15 June, 2017

    File transferred to another practitioner within the firm Yes No Comment or detail Has the client requested the change of practitioner? □ □ Has the practitioner receiving the file confirmed they have the knowledge and capacity to do the work? □ □ Has the transferring practitioner completed a detailed memorandum that: details the […]

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Key Risk Checklist: File closing

15 June, 2017

  Work completed Yes No Comment or detail Have we written to the client confirming: all required work has been completed? □ □ any outstanding issues that are the client’s responsibility? □ □ any critical dates and consequences? □ □ future actions (such as exercise of an option) that is the client’s responsibility? □ □ […]

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Key Risk Checklist: File transfer to another firm

15 June, 2017

  File transferred to another firm at request of client Yes No Comment or detail Before we transfer the file have we: spoken with the client about their concerns? □ □ accounted for all work and disbursements? □ □ Have we written to the client confirming: the status of their matter including work completed and […]

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Key Risk Checklist: Client intake

15 June, 2017

  Client   Comment or detail Who is the client? (Individual or entity) Ethical Yes No   Comment or detail Is VOI required (or desirable)? □ □ Is there more than one client? □ □ Has the firm acted for or against this client previously? □ □ Are there any potential conflicts? (particularly if more […]

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Key Risk Checklist: Face to face verification of identity

8 August, 2016

Doing VOI well protects you and your good clients. Face to face verification of identity – Steps for practitioners To undertake a VOI of a client you need to be familiar with the following documents as a minimum: ☐  Model Participation Rules. In particular clause 6.5 and schedules 8 and 9. ☐  ARNECC MPR guidance […]

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Key Risk Checklist: Cyber Security

27 June, 2016

It is essential that firms take steps to prevent cyber-crime as practitioners are increasingly at risk of cyber-attacks. This is a list of the things firms need to do to at least lock the door on cyber-crime. Cyber security ☐  Always authenticate email instructions that involve sending money by speaking to the client in person […]

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Delegation/supervision instruction sheet

7 June, 2016

Download Word Version Delegation/supervision instruction sheet   Delegator: [insert name] Who: [insert name of staff receiving work] When work due: /         /20   Scheduled dates to meet and review: /         /20 /         /20 What needs to be done: Format: [letter format, oral report, written report, email, in conference etc] Why: [for example, to help the […]

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