Solicitors in England and Wales face a fresh impetus to ensure compliance across their organisations. Rule 8.1 (a)(i) of the SRA Authorisation Rules 2011 places the requirement on an authorised body and its managers to ensure compliance with obligations imposed on the body itself, its managers, employees or interest holders by or under the SRA’s regulatory arrangements.
Rule 8.2 of the Authorisation Rules refers to the need for an authorised body to have ‘suitable arrangements for compliance’, and the guidance notes to rule 8 refer to the need for ‘clearly defined governance arrangements providing a transparent framework for responsibilities within the firm’ as a common area for firms to consider.
In correlation with this, Outcome 7.1 of the SRA Code of Conduct 2011 outlines the need for a ‘clear and effective governance structure. Outcome 7.2 refers to the need for ‘effective systems and controls’ to achieve compliance.
Effectively maintaining an appropriate, up-to-date flow of information and documentation throughout an organisation on a paper-based basis can be a time-consuming and inexact process.
EQMS - Compliance for Solicitors features extensive permission-based document control which allows managers and compliance officers to thoroughly tailor the view of accessible content to reflect the needs of the firm and the roles of those within it.
Reduce the risk of non-compliance arising from use of dated or erroneous content and ensure that only the most recent, approved versions of template documents are used by letting EQMS drive your working procedures.
EQMS document permissions let you target specific users by group or role. They also help you to make document access match your organisational structure. Holding a single master copy of each document makes unnecessary duplication a thing of the past