Task guide
The compliance calendar
See every dated compliance duty in one list by day and in the firm's diary, from every register, and subscribe to it in Outlook or Google through a private address.
Compliance, Calendar lists every dated duty of the compliance function by its day: practising certificates, CPD, training, policy attestations, the interests confirmation, registrations, the risk assessment, policy reviews, insurance renewal, file reviews and their actions, undertakings, complaints and incidents with their dates, data requests and retention. Overdue duties are marked, and those due within thirty days. Narrow it by Area, by words of the duty, or by the window (at most 400 days at a time). A duty on a matter you are walled from is left out.
In the diary
The same duties stand in the firm's diary, under Calendar, for whoever keeps the compliance calendar: each on the day it falls due, in the deadline colour, with Compliance duties among the diary's chips to show them alone. Opening one goes to the record it is on, such as the registration, the policy or the file review. Nobody else sees them, and a diary narrowed to a matter, a court or another kind of entry leaves them out.
Subscribe in your calendar
Get address makes a private calendar address for Outlook or Google, shown once: copy it and subscribe. It carries the duties from thirty days back to four hundred ahead, and stops working when you choose Revoke, take New address, or no longer hold the dashboard's key. Anyone with the address reads the duties, so keep it private.
The dashboard
The compliance dashboard now shows gifts, outside interests, file reviews and insurance beside the other areas, the duties behind the standings, each area's standing at the end of each of the last twelve months, and Partners' report, the dashboard on one page for the partners' meeting.
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- The compliance dashboardSee at a glance whether CPD, the firm's AML risk assessment, its policies and staff training are red, amber or green, and open the people or items behind each figure.
- File reviewsEach period the system draws a sample of every fee earner's matters for review by a partner or compliance against the firm's checklist, scores each file, sets follow-ups and actions, and shows each fee earner's trend.
- Professional indemnity insuranceKeep the firm's indemnity policies with their limits and documents, work each renewal to binding, record notices of circumstances and claims with their payments, and send the broker the claims history.
- Gifts and hospitalityRecord a gift or hospitality given or received, ask before accepting or giving one, have compliance decide it over the firm's threshold, and read the year's totals by person and by other party.
- Outside interestsDeclare directorships, shares, partnerships, other work, public office and family ties; have compliance review each; see them warned on conflict checks; and confirm them once a year.