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Compliance Analysis Review

Are compliance issues affecting the success or efficiency of your firm? Perhaps you are looking for ways to avoid complaints from clients or improve your work/life balance. Whatever your needs, a Compliance Analysis Review can point you in the right direction about your professional responsibilities and provide practical solutions.

Benefits

Compliance Analysis Reviews are a free service to all firms across New South Wales. Participation is voluntary and all Reviews are completely confidential.

How a review works

Conducted by a Regulatory Compliance Support Solicitor, a Compliance Analysis Review consists of a comprehensive questionnaire which normally takes about 1.5 hours to complete in an interview setting. The questionnaire focuses on a broad range of practice management and compliance issues, such as:

• GST and superannuation guarantee levies
• costs and trust accounting regimes
• compliance with Solicitors' Rules, including:
  • conflict of interest
  • safe custody and confidentiality
• client communications
• work/life balance.

A comprehensive report and practical practice management tools such as, file review checklists (to assist in the supervision of employed solicitors), work plans, file note precedents and information hyperlinks are provided to principals following a review.

Included with the CAR report is a CD which holds an electronic copy of the report. This allows practitioners to access any references and website links directly.

How to participate

If you would like to participate in a Compliance Analysis Review, contact the Regulatory Compliance Support Unit at the Law Society (details at right).