Terms

What this is

Complaints & AML is a records tool. It works out the dates in a firm's complaints procedure, drafts the letters from what the firm types, and keeps the AML records an inspection asks for.

What it is not

• It does not send anything. No letter goes to a client, to the Legal Ombudsman or to the SRA from us. The firm prints, signs and posts.
• It does not decide whether a matter is high risk. It adds up the factors the firm answered against weights the firm can edit, shows what that rating requires, and a person signs it.
• It is not legal advice, and it is not approved or endorsed by the SRA.
• It does not verify anyone's identity. That is what Thirdfort, Amiqus, Legl and SmartSearch are for.

Check the law yourself

Statutory periods and regulation references come from a file the firm can read and edit. Where one has not been checked against its primary source, the screen and the generated document say so. Check anything you are about to rely on — particularly the Legal Ombudsman's time limits and contact details, which the firm enters itself.

Who remains responsible

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.

This is a pilot

It is being tested with a small number of firms. Client names, addresses and document uploads are disabled; use initials and matter references. The service may be unavailable or change without notice.