Effective File Auditing & Essential Record Keeping - A Compliance Roadmap for COLPs

Introduction

Combining two core areas - file auditing and record/documentation management - this interactive seminar will equip Compliance Officers for Legal Practice (COLPs) with a unified and practical roadmap to strengthen firm-wide compliance, reduce regulatory risk, and drive real value across internal processes.

Led by compliance expert Paul Bennett, this seminar will challenge outdated ‘tick-box’ approaches and offer real-world strategies aligned with the SRA’s evolving expectations, the revised wellbeing rules, and pressures from the professional indemnity insurance market.

This seminar is designed to be practical, engaging, and immediately applicable. It will provide you with the tools and insights needed to identify and implement meaningful improvements in your file audit process and lead compliance more effectively within your firm.

Whether you are an experienced COLP, new to the role, or part of the wider compliance function, this session will ensure you understand the documentation and records needed to meet SRA requirements and safeguard your firm’s reputation.

What You Will Learn

This course will cover the following:

• Effective File Auditing
  • What makes a file review process work - moving beyond box-ticking
  • Reflecting the SRA’s 2019 Standards and Regulations in your audits
  • How to unbundle and improve each stage of the file review
  • Smarter file selection - thinking like an insurer or regulator
  • Conducting audits - fewer, focused questions for better insights
  • File audits for AML and SRA Accounts Rules compliance
  • Approaches for paper vs electronic files
  • Audit considerations for new staff, lateral hires, and partners
  • Sharing trends - turning data into confidence and accountability
• Essential Documentation & Record Keeping
• Monthly and annual documentation every COLP should deliver
• Key records to protect both the COLP and the firm's reputation
• Maintaining an effective risk register and breach log
• Understanding and applying the SRA’s reporting/notification rules
• Best practices for documenting compliance decisions and actions