compliance club+

Prepare for the new Failure to Prevent Fraud offence, strengthen your internal controls, and empower your team with essential fraud awareness. Our services include training, masterclasses, policy development, and robust fraud risk audits.

Fraud Risk Management for Legal Alliance Members: Proactive Protection for Your Firm

In an environment where fraud threats are constantly evolving, particularly with the introduction of the new UK ‘Failure to Prevent Fraud’ offence (effective 1 September 2025), robust fraud risk management is no longer optional, it’s fundamental. As your dedicated Compliance Partner, Teal Compliance offers Legal Alliance members specialised support to build resilient defences against financial crime. We understand the specific vulnerabilities faced by law firms and provide practical, proportionate solutions.

Why it Matters to Legal Alliance Members

Protecting Your Reputation: Fraud incidents, regardless of size, can severely damage a firm’s standing. Proactive measures safeguard your hard-earned trust.

• Meeting New Obligations: We help you navigate the requirements of the Failure to Prevent Fraud offence, ensuring you have “reasonable procedures” in place.
• Safeguarding Client Assets: As custodians of client funds and sensitive data, effective fraud controls are paramount to your duty of care.
• Operational Resilience: Strong fraud prevention also enhances overall business integrity and efficiency.

Our Fraud Risk Management Services for Legal Alliance Members

We offer a comprehensive suite of services, tailored to your firm’s specific needs:

• Fraud Risk Assessments:
  • Detail: We conduct in-depth assessments to identify your firm’s unique fraud vulnerabilities, from internal threats to external scams. Our approach is bespoke, considering your practice areas, client base, and operational structure.
  • Benefit: Gain a clear picture of your exposure and target your resources effectively.
• Policy & Procedure Development:
  • Detail: Crafting clear, practical, and compliant fraud prevention policies and procedures that integrate seamlessly with your existing compliance frameworks. This includes guidance on internal controls, reporting mechanisms, and response plans.
  • Benefit: Establish robust internal controls and clear guidelines for your team.
• Specialised Training & Masterclasses:
  • Detail: (Referencing the webinar types already agreed) Our bespoke training ranges from essential “Fraud Awareness for Business Support Staff” to in-depth “Fraud Masterclasses for MLROs/Compliance Officers,” and targeted “Failure to Prevent Fraud” training for senior leadership. Delivered in-person or online, these sessions empower your team.
  • Benefit: Equip every level of your firm with the knowledge to identify, prevent, and report suspicious activity.
• Independent Reviews & Audits:
  • Detail: We conduct independent reviews of your fraud prevention controls, ensuring they are effective, proportionate, and aligned with regulatory expectations and best practice.
  • Benefit: Gain objective assurance and identify areas for continuous improvement.

Meet Our Expert – Mark Heffer 

Ready to Fortify Your Defences?

Don’t wait for an incident to realise the value of robust fraud risk management. As a Legal Alliance member, you have direct access to expert support designed to protect your firm and your clients.

Beyond AML, we provide comprehensive support for broader regulatory compliance. This includes CQS, SRA investigations, and general regulatory advice to ensure your firm adheres to all relevant professional conduct and regulatory standards.

Regulatory Compliance for Legal Alliance Members 

Maintaining Standards, Enhancing Reputation

Beyond the critical areas of AML and Fraud Risk Management, effective broader regulatory compliance is the bedrock of a reputable and resilient law firm. For Legal Alliance members, Teal Compliance acts as your dedicated partner, providing a safe pair of hands to navigate the full spectrum of regulatory obligations. Our aim is to ensure your firm not only adheres to the rules but truly embeds a culture of compliance that strengthens your practice and reputation.

Why Robust Regulatory Compliance Matters to Legal Alliance Members

• Preserving Your Licence to Operate: Adherence to the SRA’s Principles and Codes of Conduct is non-negotiable for all legal firms.
• Protecting Your Clients: Robust processes safeguard client interests, fostering trust and preventing complaints.
• Enhancing Professional Standing: A proactive approach to regulatory compliance demonstrates integrity and operational excellence.
• Mitigating Risk: Effective regulatory frameworks reduce the likelihood of investigations, penalties, and reputational damage.
• Operational Clarity: Clear policies and well-trained staff lead to smoother operations and reduced errors.

Our Regulatory Compliance Services for Legal Alliance Members

We offer a comprehensive suite of services designed to help Legal Alliance members meet and exceed their regulatory obligations:

• Practical Policies & Procedures:
  Detail: We develop and refine comprehensive, practical, and accessible policies and procedures that provide clear information on regulatory requirements. Our documents are designed for clarity, explaining not just what is required, but why, ensuring better understanding and adherence across your firm.
  • Benefit: Streamline operations, reduce ambiguity, and ensure consistent application of regulatory standards.
• Targeted Regulatory Training Courses:
  • Detail: We design and deliver various training courses specifically tailored to educate your team on essential regulatory requirements. These courses can be customised to align with your firm’s specific policies and procedures. Subjects commonly covered include:
    • SRA Code of Conduct
    • SRA Account Rules
    • Roles and Responsibilities of Compliance Officers (COLP/COFA)
    • Equality and Diversity
    • Complaints Handling (including insights into new SRA consultation outcomes)
    • Risk Management and Effective Supervision
  • Benefit: Equip your entire team with the knowledge to maintain high standards and foster a strong compliance culture.
• Compliance Gap Analysis Audits:
  • Detail: One of our most popular services involves conducting a thorough Compliance Gap Analysis Audit. This is ideal for firms seeking to test their current processes and procedures, or those looking to strategically develop their compliance function. We provide clear guidance on where to focus your efforts for maximum impact.
  • Benefit: Gain an independent, expert assessment of your firm’s compliance health, identify weaknesses, and receive actionable recommendations for improvement.
• SRA Investigations Support: 
  • Detail: We provide expert guidance and support should your firm face an SRA investigation, helping you to understand the process and formulate an effective response.
  • Benefit: Navigate challenging situations with informed, professional assistance.
• CQS & Lexcel Support: 
  • Detail: We assist firms in achieving and maintaining quality accreditations like CQS (Conveyancing Quality Scheme) and Lexcel, ensuring your processes meet these rigorous benchmarks.
  • Benefit: Enhance your firm’s credibility and demonstrate commitment to excellence.

Meet Our Experts – Eilish Cullen  Baljeet Harley and Rhiannon Davies

Ready to Elevate Your Firm’s Compliance Standards? 

Ensure your firm remains fully compliant and operates with complete confidence. As a Legal Alliance member, you have direct access to Teal Compliance’s expertise, providing the safe pair of hands you need for regulatory excellence.

Our bespoke training programmes, delivered in-person or online, equip your staff with the knowledge and skills to identify and mitigate risks. From AML awareness to in-depth fraud masterclasses, we transform compliance from a burden into a strength.

Data Protection Compliance for Legal Alliance Members: Safeguarding Information, Building Trust

In an age where information is paramount, robust data protection compliance is no longer a choice but a fundamental requirement for every UK law firm. For members of the Legal Alliance, Teal Compliance offers a vital safe pair of hands, providing expert consultancy and training to ensure your firm not only navigates but excels in the complex world of data privacy.

Since the introduction of the General Data Protection Regulation (GDPR) and the Data Protection Act 2018 (DPA 2018), all businesses in the UK, especially those handling sensitive legal information, must meticulously manage client and employee data. Our mission is to help your firm identify risks, implement robust controls, and foster a culture of data security, transforming potential vulnerabilities into a competitive advantage.

Why Data Protection Compliance Matters to Legal Alliance Members

• Legal Obligation & Reputation: Adherence to GDPR and DPA 2018 is mandatory. Non-compliance can lead to significant fines, regulatory action, and severe reputational damage.
• Client Confidence: Demonstrating a strong commitment to data protection builds and maintains vital client trust, proving you are a secure custodian of their most sensitive information.
• Mitigating Data Breach Risks: Proactive measures significantly reduce the likelihood and impact of cybercrime, data loss, and costly data breaches.
• Operational Efficiency: Clear data protection policies and well-trained staff lead to more secure and efficient data handling processes.
• Future-Proofing Your Practice: Staying ahead in data protection ensures your firm is resilient against evolving threats and regulatory shifts.

Our Data Protection Compliance Services for Legal Alliance Members

Teal Compliance offers a tailored range of consultancy and training services, specifically designed to help Legal Alliance members safeguard the data they process:

• Risk Identification & Control Implementation:
  • Detail: We work closely with your firm to identify specific risks to the data you process. This involves understanding your data flows, existing security measures, and potential vulnerabilities. Based on this, we help you put in place comprehensive policies, procedures, and controls designed to protect sensitive information effectively.
  • Benefit: Gain a clear understanding of your data protection landscape and implement proportionate safeguards to mitigate risks.
• Policy & Procedure Development:
  • Detail: We assist in developing and refining your firm’s data protection policies and procedures, ensuring they are practical, compliant with GDPR and DPA 2018, and clearly communicated to all staff.
  • Benefit: Establish robust internal guidelines that promote best practice and regulatory adherence.
• Targeted Data Protection Training Courses:
  • Detail: Our training courses explain how your staff can effectively protect both your clients and themselves from cybercrime and data loss. These sessions are tailored to your firm’s specific policies and procedures, ensuring practical application.
  • Benefit: Empower your team with the knowledge and awareness needed to handle data securely and responsibly, reducing the risk of human error.
• Compliance Audit Services:
  • Detail: For firms that already have data protection policies and procedures in place, we offer independent audit services to check that everything is working effectively. We assess the practical application of your controls and identify areas for improvement.
  • Benefit: Receive an objective evaluation of your data protection framework, ensuring ongoing compliance and operational effectiveness.
• Expert Q&A & Good Practice Guidance:
  • Detail: A highly valued part of our process is providing dedicated time with our experts. This allows your team to ask specific questions, gain clarity on complex scenarios, and benefit from our extensive experience of good practice in data protection.
  • Benefit: Get direct, authoritative answers and insights to enhance your firm’s data protection strategy.

Meet Our Experts – Eilish Cullen and Saba Sanjua

Ready to Fortify Your Data Protection?

 Don’t leave your firm’s sensitive data to chance. As a Legal Alliance member, you have direct access to Teal Compliance’s unparalleled expertise, providing the safe pair of hands you need to achieve and maintain exemplary data protection compliance.