Regulatory Assistance

PCC works with a number of Business Partners who are able to provide solicitors with specific guidance in a number of regulatory areas including:

  • Advice on the implementation of the LASPO Act and the Referral Fee Ban – PCC has access to a suite of agreements which allow firms to maintain relationships with Introducers in compliance with the new LASPO regulations.
  • General Practice Development, Compliance Management and Accreditation under the Solicitors Regulation Authority Code of Conduct 2007 and LEXCELv4 Practice Management Standards; additional Compliance and Accreditation under ISO 9001:2000;
  • Specific Regulatory and Compliance issues in respect of the Code of Conduct 2007, Solicitors Accounts Rules and related Codes and Guidance (including DPB, FSA, and MLR);
  • (For firm’s undertaking publicly-funded work) Compliance and audit management, category extensions and new accreditations, appeals and assessments under the Legal Service Commission’s SQM etc;
  • Client Care and consumer complaints management under Rule 2 of the Code, and resolution of Legal Complaints Service references (including drafting of current terms of retainer and complaints procedures);
  • Matters of professional negligence, employment, breach of partnership/ contract;
  • Matters of professional complaint and regulatory breach: Regulation Unit references, and assistance/preparation in respect of Forensic Accounting and Monitoring visits, and proceedings against practitioners and firms by the Solicitors Regulatory Authority, including Adjudications and Appeals;
  • Drafting of Referral Agreements and compliance with the Code of Conduct 2007 and the Compensation Act 2006 (Regulation Board priority)

For information and assistance in any of these areas please contact PCC to discuss your requirements.