Task guide
The firm's regulatory registrations
Keep the registrations the firm holds with regulators, such as the Data Protection Commission, with their numbers, renewal dates and certificates, and be reminded before each lapses.
What it keeps
Compliance, Firm, Registrations is the register of registrations the firm itself holds with regulators. Every firm holds one with the Data Protection Commission, so a new register says "Every firm holds a Data Protection Commission registration; record it first, with the day it renews." Registrations of individual lawyers, such as practising licences, are kept on each person instead; see Leave, practising licences and CPD.
Each row shows the Registration, its Authority, its Number, the day it was Registered on and the day it Renews on. Standing says where it stands: Current, Expiring soon (inside 60 days of the renewal day), Lapsed or None, and Status says whether it is Active or Retired. Search by name or authority, and narrow by standing and status.
Record one
- Choose to record a registration. The page reads Record a registration.
- Give its Name, for example "Data Protection Commission registration", the Authority, the Number exactly as the certificate prints it, the day it was Registered on and the day it Renews on. Leave Renews on blank where the registration never lapses.
- Add Notes the file should carry, and save.
Open a registration for Registration details: the facts, its standing, when the firm last changed it, and the certificate the regulator issued. Upload certificate from the row's menu attaches it, and once it is there the same place opens it.
Reminders and the other actions
For every active registration with a renewal day, the system sends a reminder 60 days before, 30 days before and on the day itself, each once, and the dates also show on the compliance calendar (see The compliance calendar). Renew the registration with the regulator, then change the record's Renews on day so the next cycle starts.
A registration the firm no longer holds is Retired from its menu, with a confirmation, and Brought back if that was a mistake. Retired registrations stay on file and are no longer reminded.
Reading the register takes the right to view practising status and registrations; recording, changing and retiring one takes the right to record them.
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Read next
- Leave, practising licences and CPDLeave that is decided by somebody else and shows what the absence puts at risk, the firm's practising licences by year, and CPD against the requirement.
- The compliance calendarSee 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.
- 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.