Compliance file audits

The SRA Codes of Conduct require practices to maintain effective systems for supervising work and ensuring that services are delivered competently; and both Lexcel and CQS standards require firms to have procedures for regular, independent file reviews.

Effective file reviews provide essential assurance that policies are being followed, identify areas of non-compliance and give practices the opportunity to take early action to address areas of risk.

We can help firms to design effective compliance plans, conduct independent compliance audits and provide you with written reports addressing key regulatory obligations, supporting your firm’s ongoing compliance obligations.

compliance files

It has been fantastic working with Laurence Howland and Buckles Law. Laurence is very experienced in the anti-money laundering rules and regulations and is passionate about helping professional services firms effectively implement those rules into their practices. Laurence will go the extra mile for us and our clients and this is very much appreciated.


Sharon Cooke FCA CTA
Technical Director
2020 Innovation Training Limited

Black Swan Events

By Laurence Howland | 17/08/2022 |

Juvenal, a Roman poet writing around the beginning of the 2nd Century AD, stated in one of his Satires that “a perfect wife is a rare bird in the land, and rather like a black swan”. Those of us tempted to credit Juvenal with egalitarian views of women, or at least with a genuine devotion to…