Supervision and file reviews

As a regulated law firm we are required to have effective governance structures, arrangements, systems and controls in place that ensure that we and you comply with all applicable SRA regulatory arrangements as well as with other regulatory and legislative requirements. Our Supervision Policy explains how we comply with this obligation. In essence we require you to comply with our policies and procedures and we will audit that you are doing so through a periodic system of file reviews. Where we have a concern about something in particular, we may conduct a specific practice review. You should note that the reviews we undertake may include reviewing both files in NetDocuments and other emails on our systems. We usually will exclude any email we note to be personal (i.e. not work related) from our reviews, though there may be occasions where reviewing personal emails received onto the firm's systems may be appropriate. We would only do so in order to comply with our regulatory duties and you are reminded that our IT Usage Policy makes it clear that you should not use your Keystone email account for personal emails.

Document Upload System