Have confidence in your compliance, wherever you are in the world

Whether you work in a single country or your work takes you around the globe, you’ll have to comply with a number of complex regulations. This can be a challenge, particularly when you’re under pressure to work quickly, maintain standards and manage costs.

We can help. We have the largest team of new business intake (NBI) and global compliance specialists in EMEA. So you can depend on us to help you put in place the systems and processes you need to meet the complex mix of compliance challenges you face.

We can help you:

  • Design business processes to comply with different international NBI regulations

  • Design and develop matter management workflows (New Matter*, Matter Maintenance, Matter Closure) that integrate with the major practice management systems

    • *New Matter checks both the Anti Money Laundering (AML) and Client Due Diligence (CDD) status of the client and can trigger the necessary evidence gathering.

  • Design and develop client and party due diligence to ensure global compliance with AML regulations either to a firmwide standard or to local office standards

  • Integrate your systems with:

    • Practice Management Systems: Elite 3E, Elite Enterprise & Aderant Expert to create and update clients and matters

    • External Data Providers: Bureau van Dijke and Dun & Bradstreet to improve data quality and reduce data entry

    • Document Management Systems: iManage or other document stores so your documents automatically upload

    • Document Assembly Tools: HotDocs, Contract Express or Elite Design Gallery so that your engagement letters are produced automatically

  • Migrate Intapp Open-based NBI and risk systems safely to the cloud

How we can help you

We’ve developed a range of processes and forms that will help you tackle common compliance challenges quickly, efficiently and cost-effectively.

Client Due Diligence

This is based around our proprietary CDD Matrix, which codifies country-specific requirements for various client types and helps move the evidence burden from fee earners to central teams. We can configure the process to suit your specific needs and give you a fast, robust and up-to-date compliance framework. Wherever in the world you’re working.

Key Dates

We designed this form for litigation firms. It allows you to put key dates, e.g. trials and document delivery deadlines, into the matter management process. You can also post details into your matter teams’ Outlook calendars.

Client and Trust Monies Receipts and Withdrawals

We developed these forms to help you follow clear client money risk processes and  collect your authorisations evidence in a single place. We can configure fields such as the value of funds being moved, the number of approvals and the types of individuals to suit your specific needs.

The forms also allow you to show separation of duties and check the necessary CDD approval has been granted before you supply bank details to receive funds.

Annual Declarations

We developed this suite of forms and workflows to help you meet UK and other country requirements around specific annual declarations for individuals. These include maintaining a gift register; tracking outside interests; recording client bank accounts where a fee earner is signatory or trustee; authorising and track share dealing.

The data you collect is automatically summarised in an annual declaration for each individual. This means you can complete the requirements for managing Professional Practicing Certificates. The data can also be served up to CRM and conflict systems and used to inform PI insurance declarations.

Enjoy robust global compliance. Get in touch with us today.

Risk Management and New Business Intake Practice Lead

Christopher Young