Action a compliance task

Access Legal Compliance features a range of modules designed to streamline the tracking of essential compliance activities, including breaches, complaints, file audits, and the management of your risk register.

Whether you’re new to the system or looking to refine your skills, these step-by-step guides will help you assign ownership and accountability for compliance tasks, enhancing communication and ensuring team members are aware of their responsibilities.

Tip: For guidance how to add a record to the different risk and compliance modules, please refer to our Add a compliance record guide.

To maintain compliance and uphold quality standards, it is essential to complete the appropriate actions when issues arise. The following articles provide guidance on how to complete a corrective action and a verification task, ensuring all actions are fulfilled before an audit is marked as complete

To ensure compliance and reinforce the effectiveness of your risk management strategies, it's crucial to take the necessary steps in response to any breach. The following articles outline the processes for completing the verification and breach remedial action tasks, enabling you to document the actions taken and demonstrate the measures adopted to prevent similar occurrences in the future. You can link the regulations breached to the record to feed into reporting and identify trends.

To uphold the integrity of your complaint management processes, it's essential to follow a structured approach which adheres to regulatory requirements. The articles below provide guidance on completing the task flow, from acknowledging a complaint to closing it, ensuring that all actions are properly documented. If the complaint is referred to the Legal Ombudsman, you should record the details and outcome of the investigation against the complaint to maintain a centralised record.

Within Access Legal Compliance you can set approval limits within the Gift and Hospitality Register to align with your anti-bribery policy. If a record exceeds these limits, a review task is automatically created and assigned to the relevant person. The following article explains how to accept or reject any records sent for review, as well as how to request additional information if needed to make an informed decision.

Having a system to comprehensively monitor and track all claims and circumstances is essential for effective claims management. This article shows you how to close a claim in the system once no further action is needed.

To uphold effective risk management and ensure the relevance of your controls, it is essential to periodically review your mitigation strategies. The following article guides you through the process of completing a mitigation strategy review task in the risk register, ensuring that all strategies and risks are appropriately assessed and updated.

To maintain accountability and ensure follow-through on commitments, it is vital to take appropriate actions regarding undertakings. The following article guides you on how to mark an undertaking task as discharged, or update the discharge date if timeframes have changed.