Category | Task | Frequency | Instructions |
|---|
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. |
