General Compliance

Review and update the firm’s compliance policies.

Annually

Ensure policies reflect current laws and ethical standards.

Ensure all attorneys are licensed and in good standing.

Ongoing

Check statuses with local bar associations.

Conduct ethics and compliance training.

Regularly

Schedule sessions for all employees.

Hold compliance reviews.

Quarterly

Discuss recent compliance and ethical developments.

Monitor legal changes.

As needed

Adjust policies and practices promptly.

Confidentiality and Privacy

Ensure confidentiality agreements are signed.

Upon hiring

Have new hires sign agreements.

Audit data access and sharing practices.

Regularly

Review who accesses and shares firm data.

Implement secure document protocols.

Continuously

Enforce secure storage and destruction of documents.

Update privacy policies.

As legislation changes

Ensure policies comply with new privacy laws.

Train on data handling and privacy laws.

Annually

Educate employees about personal data handling requirements.

Financial Compliance

Audit financial accounts.

Quarterly

Ensure transparency and correctness.

Check tax compliance.

Annually

Verify all tax obligations are met.

Maintain records of client funds and trust accounts.

Continuously

Keep detailed and accurate records.

Enforce internal controls.

Continuously

Prevent misappropriation of funds.

Ensure legal compliance in financial reporting.

Continuously

Report finances according to legal requirements.

Client Relations and Service

Verify no conflicts of interest in client representation.

Before each case

Check for any potential conflicts with new cases.

Solicit client feedback.

Regularly

Obtain feedback to improve services.

Inform clients about their rights and firm’s duties.

At engagement

Provide clear communication about client rights.

Maintain communication with clients.

Throughout case

Ensure timely updates and open dialogue.

Handle client complaints effectively.

As needed

Resolve complaints swiftly and professionally.

Professional Development and Training

Maintain legal education credits.

Annually

Verify team’s credits are up to date.

Organize training on emerging legal issues and technologies.

Annually

Keep the team informed about industry changes.

Invite experts for development talks.

Periodically

Enhance knowledge in key practice areas.

Mentor young attorneys.

Continuously

Support development for leadership and specialized roles.

Update training materials.

Annually

Ensure materials reflect current laws and technologies.