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Compliance

The ETSOS search ordering system has been built to support compliance procedures under the code of conduct, outcomes focused regulation and accreditations such as Lexcel and CQS. Click here to see eight ways ETSOS can help you with your compliance.

The Law Society’s ‘Publicising solicitors’ charges’ practice note clearly states that a failure to provide an appropriate level of detail when quoting for work may be considered a breach of Outcome 1.1 of the SRA Code of Conduct; to treat your client fairly. A QRS quotation provides a way to ensure firms do not mislead prospective clients with  eye-catching “headline figures” and assists them in making an informed decision.

It is no longer enough to be compliant, firms must be able to demonstrate compliance if requested for SRA, CQS or Lexcel purposes. These practice management standards require firms to provide audit trails and show the processes they have in place for supervision.

Orders placed through the ETSOS platform create a demonstrable end-to-end audit trail. Each order links directly to your matter reference and property details, and tracks the case through from order date to the return of all outstanding products. All completed cases are easily accessible for file reviews.

As an independent supplier of searches offering transparency on price and turnaround times, you can be assured that you are meeting Principle 5.5 of the Code of Conduct “provide a proper standard of service to your clients” by “taking into account the individual needs and circumstances of each client” and Principal 3: “not allow your independence to be compromised”.

If you are a CQS firm, under Core Practice Management Standards you have agreed to:

“…document how client enquiries in relation to possible instructions are handled, with particular regard to: a: telephone enquiries b: clients who enquire in person in the reception area, including confidentiality c: enquiries by correspondence and e-mail”

Our Quote and Referral System (QRS) is the ideal way to ensure that every enquiry is logged, pricing is consistent, quotes are compliant and can be audited.

To find out how ETSOS can support compliance in your practice contact David Opie on 01524 220000 or email davidopie@etsos.co.uk

The ETSOS quote and referral system is a free useful tool in keeping conveyancing work where it belongs: i.e. on the local high street! It is an essential way to prepare for the inevitable onslaught of Tesco law Gary Rycroft – Partner, Joseph A Jones & Co Solicitors

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