Complaints and AML records, ready for an SRA visit.
A complaint arrives, the eight-week clock starts, and the firm has four letters to write and a register to keep. Alongside it sits the AML file an inspection asks for: the firm-wide risk assessment, a signed assessment on every matter, source of funds, training and the annual audit. This keeps both, in one place, with the dates worked out.
What it does, and what it does not
It works out the dates, drafts the letters and keeps the records. It does not send anything: there is no “send” button, and no correspondence goes to a client, to the Legal Ombudsman or to the SRA from us. The firm prints it on its own paper and signs it.
It does not decide whether a matter is high risk either. It adds up the factors the firm answered, shows what that rating requires, and a person signs it. Where a figure or a regulation reference has not been checked against its source, the screen says so rather than presenting it as settled.
Records tool. Not legal advice. The firm's COLP and MLRO remain responsible for compliance. This tool is not approved or endorsed by the SRA.
How client records are handled: privacy notice.