By placing an order with us, through our website or otherwise, you are agreeing to the terms and conditions set out below. In addition, if you are placing an order with us through our website then you are also agreeing to:

Please do take the time to read these terms and conditions, those for using our website and our privacy and cookies policy.  They include important information and are binding (i.e. can if necessary be enforced in Court).  Some of our services are only available via our website so we recommend that you check the terms of use for our website before ordering with us even if placing an order other than through the website.

We do not currently have a copy of these terms and conditions available in a language other than English.  Please contact us if you would like this information in a different format and we’ll see what we can do to help.

Who we are

We are the Compliance Office Ltd. The Compliance Office Ltd is a limited company registered in England and Wales. Our company number is 09133668. Our registered office is 20 Grosvenor Place, London, SW1X 7HN.  References to ‘we’, ‘us’ and similar terms mean the Compliance Office Limited.  ‘Our’ should be construed accordingly. A full list of our directors is available at our registered office and on request.  Our VAT registration number is 197 1067 86.  We offer consultancy, training and goods to lawyers and others wishing to comply with Solicitors Regulation Authority requirements. 

Our contact details, including our telephone number, are available on our website: www.complianceoffice.co.uk. You can also email: contact@complianceoffice.co.uk.

All goods and services are provided to by the Compliance Office Limited.  This includes training and consultancy services delivered by a member of our team for the Compliance Office Limited.

Though some of our team may be legally qualified, they do not practise law or provide legal services as part of their work with us. In terms of our services, we provide compliance consultancy and training.  We are not a law firm and do not provide legal advice or lawyer services. Any guidance which we provide as part of our training or consultancy services should not be relied upon as if it were legal advice.

Placing an order with us

You can place orders with us for our goods and / or services online via our website or by other means.

Online purchases

For online purchases we must receive payment of the whole of the price for the goods or services that you order before your order can be accepted.

Once payment has been received by us we will confirm that your order has been accepted by sending an email to you at the email address you provide in your order. This written confirmation of your order will constitute our acceptance of your order. We reserve the right to decline confirmation of your order. In particular we may decline or subsequently cancel an order if an error has been made as to price (see below) or there is a problem with the availability of the goods or services ordered.

To make an order online you will need to follow the instructions to add the desired item(s) to your list of selected items and then follow the instructions to enter payment details and make payment. If you have incorrectly selected any item which you do not wish to buy you can remove this item by following the online instructions. Please check the items you have selected to purchase carefully before proceeding and contact us via the website if you have any queries.

Where an order is placed for certain goods such as online training and web applications you will be permitted an express number of users for use of the product within your business.  You must not exceed this or allow individuals who are not employees or managers of your business to access the product.  We reserve the right to bring your access to the product to an end where our records show that the use of the product on your account exceeds what would in our reasonable opinion be reasonable usage taking the user limits into account.  Please contact us if you would like to increase the number of users for a particular product and we will happily arrange a quote for an increase in your licence.

These terms will remain available to you on our website. In the event that our terms subsequently change and you wish to have sight of a copy of the terms which were in place at the time of your purchase please contact us and we would be happy to supply you with a copy of the relevant terms.

While we try our very best to ensure that all prices on our website are accurate, it is possible that an occasional error might occur. If we discover an error in the price of your order we will inform you as soon as possible and give you the option of reconfirming your order at the correct price or cancelling it. If we do not receive a response from you within 14 days we may at our discretion treat the order as cancelled. If you choose to cancel your order (or if it is treated by us as cancelled) in these circumstances and you have already paid the incorrect price for your order you will receive a full refund.

Where we offer a free trial or other free service via the website, these terms shall apply as regards the limitations on our liability and responsibilities to you.

Other purchases

If you place an order with us by other means we will still confirm your order in writing, which may be by email. This written confirmation of your order will constitute our acceptance of your order and include the price, or the basis of charging, agreed between us.

We reserve the right to decline confirmation of your order, in particular if a required deposit or other fee has not been paid.

Our acceptance of your order for goods and / or services brings into existence a legally binding contract between us. 

About our goods and services

We sell regulatory and legal compliance products and services.  We may also provide supplementary goods and services also of benefit to law firms.

Our goods

‘Goods’ includes our compliance templates, other written publications, e-learning and web applications.

We acknowledge that some purchases made from us require access to our website (i.e. online training or web applications). We shall endeavour to ensure that our clients can access our website and web applications at all times and to keep any disruptions to a minimum.  Whenever practicable, planned maintenance shall be performed outside of normal office hours (ie. Monday to Friday 8am to 6pm). However, sometimes unplanned maintenance is essential and access cannot always be guaranteed and will not be of the essence to this agreement.  We cannot guarantee the compatibility or appropriateness of our online products with jurisdictions outside of England & Wales.

We provide samples of some of our online products via our website which we recommend that you try before making a purchase to ensure that your computer and network are compatible with these products.

We may on occasion take orders in advance of a product or service being available. Where a product or service such as a particular online training session is not yet available we will make this clear on our website and prior to your order being accepted.  You may request a refund where the product or service does not become available within the estimated time period.  It the product or service is part of a package of products or service we will offer you a refund for the relevant part of the price. 

A description of most of our products is contained on our website. If you place an order for goods with us other than through our website we will agree a description of the product to be delivered and confirm your order with you before commencing work on this. It is your responsibility to ensure that the description of the product (such as customised online training or policies) is accurate, clear and meets your needs. 

Our services

‘Services’ includes compliance consultancy services, training, document preparation, retainer support (i.e. ongoing monthly payments in return for access to a certain level of assistance from us), compliance advice and guidance.

A general description of our consultancy and support services is specified on our website.  We may however agree with you in writing a different type of service and fee than detailed on our website prior to an order being made.  While we will work with you to carefully design a bespoke service, it is your responsibility to ensure that the written description of such services which you require is accurate, clear and meets your needs.  

We will use our best endeavours to complete the consultancy services within the timescales agreed between us. However, it can be difficult to accurately predict the length of time that it will take to deliver certain services and so time will not be of the essence for the date or time of the completion of the consultancy services.

You agree to co-operate with us as reasonably required in order to deliver our services to you. In particular you agree to obtain all the relevant and necessary permissions, consents (including, but not limited to, client consent around issues of confidentiality and privilege) and health and safety approvals which are required for the provision of our services to you. Where we are delivering services at your premises or at another location as arranged by you then you agree to ensure a safe and hospitable environment for our team to work in.

Subject to our duties to meet legal requirements and to your own consent to the contrary, we will of course keep your affairs confidential.

Payment

For orders made other than via our website we accept cheques but cash must not be sent to us.  Payments sent by post are sent at your own risk. Payments made by cash or cheque will only be deemed to have been made once we have received (and in the case of a cheque or similar cleared at our bank) such payment. Generally speaking however we do not accept cash payments.  We reserve the right to make additional charges for credit card payments, though any such charges will be made clear to you in advance of payment being taken.

Goods

When you place an order with us for goods, such as for template documentation, online training or a web application, we will send you an invoice.

Invoices for goods shall be for:

  • the price specified on our website where an order is placed with us online; or
  • the price agreed between us and confirmed by us in writing.

Unless otherwise expressly stated by us in writing, all prices quoted are exclusive of:

  • VAT (charged at 20%) and any other applicable taxes;
  • the cost of producing a physical copy of any goods (for example, a DVD of training or hard copies of template documentation);
  • the cost of packing, transporting, insuring and delivering any goods to you.

Most of our goods can either be downloaded from our website or emailed to you. This is how we prefer to work as it enables us to keep costs, and in turn the price for our clients, lower. Therefore agreement to producing and delivering ‘hard’ copies of such goods to you is at our complete discretion (and must be expressly agreed to by us prior to your order being placed with us). 

Where payment of the whole of the price for the goods is not made prior to an order being accepted, a deposit will normally be required before your order can be accepted. At our complete discretion we may accept an order prior to a deposit being paid but if you fail to pay the deposit within 14 days of our confirmation of the order to you then your order may be cancelled. Unless expressly agreed otherwise the deposit payable will be 50% of the price agreed for the goods ordered. Deposits are not refundable if you subsequently seek to cancel or postpone your order.

Full payment of invoices for goods shall be made within 21 days of the date of the invoice. We reserve the right to withhold delivery of the goods until payment has been received.

In accordance with the terms and conditions for using our website you must not:

  • attempt to log on to any part of our sites without authorisation to do so;
  • use our websites for or in connection with any unlawful or harmful purpose or activity;
  • interfere with or disrupt the operation of the site or the systems used to operate the websites;
  • in connection with the websites, transmit or use in any way any computer programme, software or code which is or may be harmful or is intended to cause damage or is likely to cause damage (this includes the use of any virus, worm, trojan or spyware);
  • create any database or otherwise collect information via an automated process in relation to our websites without our written permission;
  • use our websites for any commercial or marketing purposes without our written permission.

You acknowledge and agree that we own all intellectual property rights (including copyright, trade mark or other intellectual property or other proprietary rights) in our products including template documentation, training materials and web applications.  In particular, you acknowledge and agree that you shall accrue no such rights as a result of any configuration made to our web applications for your business, whether at your request or otherwise.  In contrast, information and data stored within our applications by you remains your property and you shall retain intellectual property and other proprietary rights in respect of such data and information

Consultancy and support services

For the provision of services such as consultancy services, in-person training or retainer support services, we will send you an order form which will set out our fees.

For orders for services placed online via our website we reserve the right to require full payment of our fees prior to accepting your order. In other cases:

  • we reserve the right to invoice you at weekly intervals and upon completion of our work with you;
  • full payment of the fees outstanding must be made by you within 21 days of the date of our invoice;
  • a deposit will normally be required before your order can be accepted and before work can be commenced.

At our complete discretion we may accept an order for services prior to a deposit being paid but if you fail to pay the deposit by the date stated on our invoice then your order may be cancelled. Unless expressly agreed otherwise the deposit payable will be 50% of the fixed fee agreed or if no fixed fee has been agreed the deposit payable with be £750.00 plus VAT. Deposits are ordinarily not refundable if you subsequently seek to cancel or postpone your order.  If you wish to rearrange the time for delivery of the services we will endeavour to do agree alternative date with you but will retain your deposit in any event.. If your request for cancellation or postponement of the services is received 28 days or more prior to the scheduled delivery of the services we may at our complete discretion issue a credit note for the deposit paid.

Unless a fixed fee is expressly agreed, the fees are calculated on the basis of the amount of time spent by a member of our team in performing the consultancy services. Time spent is charged at an agreed rate which will be confirmed in our confirmation of your order. Ordinarily rates will be agreed and charged at a daily rate.  If 4 hours or less is spent working with you (which includes travelling time) in one day however then a half daily rate will instead be charged.  We may at our discretion charge an hourly or six minute unit rate in more discrete pieces of work but this would need to be expressly agreed at the time of your order being placed.

Unless expressly agreed otherwise (namely where a fixed fee is agreed which is expressly stated to be inclusive of all expenses), we are also permitted to charge for all reasonable costs and expenses incurred in delivering the services plus VAT where applicable, including but not limited to travelling (in standard class where appropriate), photocopying, courier services, postage and accommodation.  Mileage for journeys travelled by car will be charged at a rate of 45 pence per mile plus VAT as appropriate. Where overnight accommodation is likely to be needed we will contact you to obtain your agreement before incurring such costs.

All amounts stated are exclusive of VAT (at a rate of 20%) and any other applicable taxes and expenses (see above).

Failure to pay

We hope that our clients appreciate the importance to any business of prompt payment of monies due. If you do not pay our invoices in the terms set out in the invoice and in these terms we may:

  • charge interest on the outstanding amount at a rate of 3% per year above the base lending rate of the Bank of England, accruing daily;
  • require payment in advance for any consultancy services (whole or part) which have not yet been performed;
  • not perform any further consultancy services (in whole or in part);
  • if any goods are not delivered, withhold further delivery;
  • prevent or prohibit access to online goods and services;
  • terminate this agreement (see below).

Delivery of goods

Though we do not anticipate such difficulties arising, we are very keen to put right any shortcomings which are discovered with our products. However, much of our content can be readily used immediately upon purchase. For this reason it is important that you let us know as soon as possible if you have any concerns with our products. Failure to send notification to us of any concerns to the contrary within 48 hours of the delivery of any goods to you shall be conclusive evidence that you have examined the goods and that the goods are of satisfactory quality and fit for purpose.  The risk in the goods shall also pass to you on the date that they are delivered to you.

Delivery shall include goods being sent or otherwise being made available to you via electronic means.

Cancellation and termination

As above, generally speaking our goods involve instant access by you to our products which can immediately be used or downloaded. In addition, booking our services involves blocking out a period of time in a member of our team’s schedule to work with you. For these reasons we regret that it will not normally be possible to cancel your order once it has been accepted by us in accordance with these terms and conditions. You will not therefore be entitled to a refund or a credit note for monies paid (including a deposit) once an order has been placed.

In exceptional circumstances and at our complete discretion we may cancel your order and arrange a refund or a credit note for the purchase made. This might include where we are satisfied that the goods have been purchased in error and have not been used in any way. Another example might be if we are satisfied that on this occasion the goods or services provided have not been fit for purpose for some reason. If a request for cancellation or postponement of services is received 21 days or more prior to the scheduled delivery of the services, or we cancel the services quite separate to any act or omission on your part, then we may at our complete discretion issue a credit note for the deposit paid if applicable.

If you do wish to seek cancellation your order however you must email a cancellation request to us with your name and address and the details of your order.

Once your cancellation request has been received we will email you to confirm whether your cancellation can be agreed in accordance with the terms of this agreement and the address for you to return the goods to us if applicable. 

Other forms of cancellation by us

If we cancel your contract we will notify you by email and any sum paid to us from your debit or credit card or other account will normally be credited to your account promptly and within 30 days of your our email cancelling the order.   We also reserve the right to credit you such monies by cheque.  We will not be obliged to offer any additional compensation such as for disappointment suffered.

We reserve the right to cancel the contract between us for goods if

  • the goods in question are not available;
  • we do not deliver to your area; or
  • one or more of the goods you ordered was listed at an incorrect price due to a typographical, administrative or technical error or an error in the pricing information.

We reserve the right to cancel the contract between us for services at our discretion. If this is necessary an alternative time for delivery of the services will normally be offered to you.  You will not be entitled to a refund where in our opinion reasonable alternative appointments have been offered to you.  An offer of a reasonable alternative appointment shall take account of your availability.

A failure to fulfil your obligations under this agreement may result in delayed reimbursement or non-reimbursement (among other things).

Termination of ongoing services

Some of our products and services are purchased to cover a set period. For example, some of our online training packages, web applications and retainer support packages are available as a 4, 6 or 12 month minimum subscription.  This shall be stipulated in your order form together with the notice required to bring the service to an end. Where a set period for consultancy services is not expressly agreed and there is no notice period specified within the order form, then either of us may cancel ongoing consultancy services by giving one month’s notice. These provisions are subject to other grounds for termination under this contract. In particular, failure by you to fulfil these terms and conditions may result in the immediate termination of this agreement and the forfeit of any deposit paid.  We will give you notice of our intention to terminate on such grounds and a reasonable opportunity to remedy the issue except where continuing the agreement would pose an immediate risk to us, our assets, infrastructure or our ability to meet legal requirements.

Web applications and data

Where you make use of our web applications it will be subject to the following provisions.

You are not permitted to:

  • make copies of the application,
  • translate, adapt, disassemble, decipher, decompile, or reverse engineer any application or allow others to do so;
  • use the application in any manner to provide service bureau, time sharing, or other computer services to third parties;
  • modify or create derivative works of the application;
  • permit the application or any part of it to be combined or merged with or become incorporated in any other program;
  • encumber the application or our branding / logo; or
  • remove or alter any copyright or other proprietary notice on the application.

You shall ensure that all employees with access to use the Application shall comply with the terms of this agreement.

You acknowledge that we shall be entitled to modify the features and functionality of the application as part of ongoing development. We shall use reasonable endeavours to ensure that any such modification does not adversely affect your use of the Application.

We do not warrant or represent that the application will be free from errors and interruptions and whilst we will use reasonable endeavours to make the Application available for use 24 hours a day, seven days a week (subject to any maintenance or Force Majeure) we are unable to warrant such availability.

The warranties (and representations) specified in the above clauses are subject to you giving notice to us as soon as it is reasonably able upon becoming aware of the breach of warranty (or representation).

We cannot warrant or represent that the application shall be:

  • uninterrupted or error free; or
  • compatible with third party application or equipment.

To the extent permitted by applicable law, we disclaim all other warranties and conditions as to the Application including but not limited to implied warranties relating to quality, fitness for a particular purpose, or ability to achieve a particular result. This does not exclude any liability for fraudulent misrepresentation.

Intellectual property

Except for your licence to use the Application as expressly granted above, you shall not acquire in any way, any title, rights of ownership, or intellectual property rights of whatever nature in the Application or in any copies of it or the marks and no intellectual property rights of either party are transferred or licensed as a result of this Agreement.

You acknowledge and understand that the Application contains confidential and proprietary information and it shall not conceal, modify, remove, destroy or alter in any way any proprietary markings of ourselves on or in the Application or any related materials and documentation.

Data and security

Our web applications enable users to store certain data in online databases.  You retain ownership of that data at all times and it will be handled in accordance with your instructions subject to the requirements of this agreement and to legal and regulatory requirements.  You remain responsible for ensuring that the data is stored lawfully and that its integrity and accuracy is maintained.  

We have a contract with specialist partners who manage the online databases through which our web applications store data for you. Purchase and use of our web applications include a license to use our partner’s for this purpose.  We have carefully selected specialists who work hard to ensure the security and integrity of the information held in the servers by virtue of the web application.  This includes encrypting the data both at rest and in transit using both SHA-256 and ES-265.  Backups are maintained in case of accidental deletion and we shall endeavour to recover such data where a problem arises.  However, additional fees are charged where access to a backup is required so we recommend that you download your own CSVs of the data periodically. Users benefit from best practice in data management by virtue of the use of industry leader Amazon Web Services’ data centres.  This infrastructure is ISO27001 certified.  Firewalls are in place to assist in the protection of users of the applications.  For an additional fee we can restrict access to your application to certain IP addresses and we recommend that you do so.

All users also have responsibility for ensuring the security of their information.  You agree to adhere to best practice in maintaining security as a user and in particular to selecting and confidentially storing passwords which adhere to best practice.  If you would like further information on our approach to security please contact us before placing any data within our web applications.

While we take information security seriously you acknowledge that security of the data placed within our web applications cannot be guaranteed.  In order to best mitigate potential security risks only anonymised client data (i.e. with the use of reference numbers) should be placed within the web application.  Other than your own personal data we do not therefore envisage the handling of personal data under the Data Protection Act.  Please refer to our privacy and cookies policy (available at www.complianceoffice.co.uk) for information on how we handle and process your personal data.

Exclusion, limitation of our liability and indemnities

Exclusion for non-consultancy products

 

Subject to the following subclauses, in no event shall the aggregate liability of any party to the other (whether in contract, tort (including negligence) or otherwise) and in respect of all claims, losses and damages arising under or in connection with this agreement exceed the total amounts paid or payable by you for goods or training (including for the avoidance of doubt web applications) in respect of any and all claims, losses and damages arising under or in connection with this Agreement.

Each party’s liability to the other in contract, tort (including negligence), misrepresentation (whether innocent or negligent), breach of statutory duty or otherwise arising out of or in connection with this agreement shall not extend to any loss of profits, business opportunity, goodwill,   data or corruption of date, anticipated savings or any special, indirect or consequential loss or damage whatsoever.

 

The parties agree that the limitations on liability in this agreement are reasonable given their respective commercial positions and ability to purchase relevant insurance in respect of risks under this Agreement.

 

Notwithstanding the above neither party excludes or limits any liability for:

 

  • personal injury (including sickness and death) to the extent that such injury results from the negligence or wilful default of a party or its employees; or
  • fraud or fraudulent misrepresentation; or
  • any breach of any obligations implied by section 12 of the Sale of Goods Act 1979 or section 2 of the Supply of Goods and Services Act 1982; or
  • any other liability to the extent the same cannot be excluded or limited by law.

 

Our training (online and in-person), template documentation, web applications and other goods are general in nature only. They should not be relied upon as if they were advice upon your individual circumstances. It remains your own responsibility to ensure that any material or information provided is used in such a way as to meet your regulatory and other duties. In addition, while we work very hard to ensure that our template material, template compliance registers, CPD templates and training contain up-to-date and accurate information this cannot be guaranteed. You acknowledge and accept that information and material in our products including our template documentation, training, web applications and other goods may contain inaccuracies or errors. 

Exclusion for consultancy services

Our consultancy services, such as guidance on how to meet your regulatory obligations, will be provided with reasonable care and skill. We may provide some support in implementing compliance systems and other consultancy services.  However, we do not provide legal advice or provide legal services either as a legal practice or in the case of your work with our team members as an individual lawyer. Any guidance which we do provide to you should therefore not be relied upon as if it were legal advice. Our services are limited to compliance and risk management consultancy only even if some of our discussions include reference to legal provisions. If you wish to obtain legal advice on your circumstances we would be very happy to make a recommendation to you.

Except in the case of:

  • death or personal injury caused by our negligence, fraudulent misrepresentation (or any other liability which may not otherwise be limited or excluded under applicable law); or
  • a failure to provide our services with reasonable care and skill where our liability does not exceed £2 million;

we shall not be liable for (whether such liability arises from contract, tort, negligence, breach of statutory duty or otherwise) for any loss, damage, costs or expenses of any nature whatsoever incurred or suffered by you of an indirect or consequential nature including without limitation any economic loss or other loss of turnover, profits, business or goodwill. You agree as part of these terms to this limitation and exclusion of our liability.  You furthermore agree to the same limitation and exclusion of personal liability on the part of the individuals providing services on our behalf save for death or personal injury caused by negligence, fraudulent misrepresentation (or any other liability which may not otherwise be limited or excluded under applicable law).  You agree that these exclusions and limitations are reasonable in the circumstances.

We shall have no liability to you for any failure to deliver goods or services you have ordered or any delay in doing so or for any damage or defect to goods delivered that is caused by any event or circumstance beyond our reasonable control including, without limitation, strikes, lock-outs and other industrial disputes, breakdown of systems or network access, flood, fire, explosion or accident.

While we do our best to ensure the that our website is free from anything which may cause our users a problem we are afraid that due to the nature of the internet we are unable to make any warranty that the contents of the website are free from infection by viruses or anything else which has contaminating or destructive properties and shall have no liability in this respect.

Professional indemnity insurance

In the unlikely event of a claim being necessary to be made against us for professional negligence we carry professional indemnity insurance for this purpose. We carry professional indemnity insurance which provides cover of up to £2 million (please see our limitation and exclusion of liability beyond this point above).

Relevant professional membership and qualifications

As detailed above, while some of our team members may hold professional qualifications as lawyers, we do not provide legal advice or services as a law firm.

Notices

Unless otherwise expressly stated in these terms and conditions, all notices from you to us must be in writing and sent to either our email address andrew.donovan@complianceoffice.co.uk or to our registered office (shown above). Notices from us to you may also be communicated by email or to one of your places of business. Changes to our terms and conditions, privacy and cookies policy and terms of use for our website however may be communicated to you by publishing the changes on our website.

Please note that we do not accept service of proceedings by email.

Invalidity of a part of this agreement

If any part of these terms and conditions is unenforceable (including any provision in which we exclude our liability to you) the enforceability of any other part of these conditions will not be affected.

Privacy 

You agree to the terms of our privacy and cookies policy which can be found on our website (www.complianceoffice.co.uk).   In very broad summary, we will use the information which you provide to us for the purposes of providing our services to you.  All clients are automatically enrolled for our free compliance updates.  If you would prefer not to receive these updates for any other communication from us then simply reply to any such communication with the words ‘OPT OUT’ as the subject heading.  Except with your consent, where required by law or for the purposes of arranging the sale of part or all of our business, we will not share your details with third parties.

Third party rights 

Except for our affiliates, directors, employees or representatives, a person who is not a party to this agreement has no right under the United Kingdom Contracts (Rights of Third Parties) Act 1999 to enforce any term of this agreement but this does not affect any right or remedy of a third party that exists or is available apart from that Act.

Governing law

The contract between us shall be governed by and interpreted in accordance with English law and the English courts shall have jurisdiction to resolve any disputes between us.

Entire agreement

These terms and conditions, together with our current website prices, delivery details, contact details, privacy policy, cookies policy, and the terms and conditions for using our website set out the whole of our agreement relating to the supply of the goods and services to you by us. Nothing said by any person on our behalf should be understood as a variation of these terms and conditions or as an authorised representation about the nature or quality of any goods offered for sale by us. Save for fraud or fraudulent misrepresentation, we shall have no liability for any such representation being untrue or misleading.

These terms and conditions shall apply to all contracts for the sale of goods and services to you to the exclusion of all other terms and conditions, including any terms or conditions which you may purport to apply under any purchase order, confirmation of order or similar document or communication. 

Use of sub-contractors

We may on occasion make use of another consultant not employed by us to provide some or all of the services to you. We shall ensure that any such person works to the same standard as can be expected under the terms of this agreement.

Partnership

This agreement shall not constitute or imply any partnership, joint venture, agency, fiduciary relationship or other relationship between us. For the avoidance of doubt neither party shall have, nor represent that it has, any authority to make any commitments on the other party’s behalf.

Complaints

In the unlikely event that you have a complaint about a product or service then please do contact us either by writing to us at our registered office as detailed above or by email to andrew.donovan@complianceoffice.co.uk. 

 

 

 

SCHEDULE

 

Product specification: Compliance Office in the Cloud

 

  • Compliance Office in the Cloud is an online database which has been customised to allow for user friendly recording, reporting and (in respect of certain events) automated email chasing in the context of risk and compliance logs maintained by solicitors firms;
  • Compliance Office allows users to keep a record and monitor specific events in the context of regulatory risk including:
    • complaints;
    • undertakings;
    • rule breaches;
    • CPD activity;
    • file reviews;
    • negligence claims;
    • high-risk cases;
    • key dates (e.g. limitation dates)
    • gifts and events;
  • the CPD functionality includes tools which help solicitors comply with the Solicitors Regulation Authority’s continuing competence regime. By default staff chasing by email is automated in terms of both creating a CPD plan towards the start of the practising year and making the internal CPD declaration also towards the end of it;
  • Whilst some firms choose to keep all data entry going through a single resource in the business the application is designed to ease that administrative burden by allowing registered users to upload data to the registers more simply and robustly than would be the case with a centrally saved spreadsheet;
  • if firms wish to roll out the use of the system throughout the firm however then there are by default three user levels:
    • ‘general users’ (typically fee earners) – by default users can add to the complaints, undertakings, rule breaches, negligence claims, key dates, file reviews, high-risk matters, gifts and entertainment, experts / counsel and legal aid referral logs only. The other logs are reserved to compliance managers and system administrators who are able to update their own entries as regards complaints, undertakings, key dates, high-risk matters and CPD. This is because typically we find that these are the areas where the matter holder is best placed;
    • ‘compliance managers’ (typically COLPs, COFAs, MLRO, Senior Partners, Information Officers etc) – those with a need to monitor the compliance data are able to be given a compliance manager role within the system. This allows them to review and amend much of the data held on the system (see ‘administrator access’ below for the only exceptions to this);
    • ‘administrator’ – these individuals have all of the rights of a general user and a compliance manager but in addition can add users to the system, alter the user status (i.e. the rights) of an individual and remove individuals from the system. It is recommended that within each law firm there is only one administrator;
    • for firms which only wish to make use of the CPD functionality there are also ‘CPD Only’ versions of each of the above but for partner reseller purposes we do not envisage selling the app with just the CPD functionality;
  • the system sends out email notifications to matter holder supervisors when new entries are made to certain higher risk registers, namely: complaints, rule breaches, negligence claims, high-risk matters, key dates falling within the next 40 days and gifts and entertainment. Similarly, emails are sent to matter holders and their supervisors where key dates which are due to expire in the next 5 weeks or undertakings due to expire in the next 40 days. If you would like these notifications to also go to other individuals such as the COLP or COFA etc then such individuals need to be entered onto the system as additional ‘escalation contacts’ (if Resellers do not have the ability to do this then notification should be sent to the Supplier). Please note that in addition supervisors are emailed chasers when file review forms are out of date and by default such emails would be copied to the customer’s system administrator;

 

We wish to stress that, although certain high-risk issues are escalated via the system, this is in order to flag up trends and must not be relied upon as a means of ensuring that deadlines are met.  We cannot guarantee the effectiveness of the system in this respect and so customers must rely upon their existing systems.

 

In addition, your package includes best practice templates and e-learning within the application as specified within your order above and you can access these items via the Compliance Office in the Cloud platform.