Stage 9: Drafting your policies and procedures – Part 1

Before we can authorise a firm, it will need to have in place suitable policies and procedures that govern its operation and ensure that it complies with the requirements of the CILEx Code of Conduct and the CILEx Accounts Rules. These documents will form your Office Manual.

Whilst it can be helpful to look at the existing policies and procedures used by the firm that you are currently working at or others available on the internet, please ensure that the ones you submit have been drafted for your firm. They will need to correspond to the size and structure of your firm and the services it provides. We are looking to see something that is proportionate and addresses the risk.

Do also think about how you are seeing your firm grow and what this may entail for your policies and procedures. For example, if you are planning on employing staff in the first 6 months, then clearly having a policy on recruitment and employees makes sense at the outset.

Also think about any obligations that running a legal entity presents, such as compliance with Companies House requirements.

The following documents will help you at this stage:

How you comply with other legislation

The Code of Conduct sets out your obligation to ensure that you understand and comply with the law and regulation applicable to you.

So, running your own firm means that there will be other regulations that you now need to consider in more detail, as responsibility for compliance will rest with you and your Compliance Manager. There are a wide variety and we have provided some guidance on what policies may be required, although this should not be considered an exhaustive list.

You will need to seek specific guidance on the various areas from the relevant governing bodies and authorities.