Office Manual – Table of Contents

Edition January 2026

• Introduction
• General Management
  • History & Structure of the Firm
  • Risk Management Policy
  • Supervision Procedures
  • Corporate Social Responsibility Policy
  • Environment, Social and Governance Policy 
  • Financial Management Policy
  • Outsourcing Policy
• Human Resources
  • Overview of HR Principles & Procedures
  • Equality, Diversity & Inclusion Policy
  • People Management Procedures
  • Performance Development Policy
  • Learning and Development Policy
  • Health & Safety Policy
  • Mental Health and Well Being Policy
  • Menopause Policy
  • Flexible, Remote & Hybrid Working Policy
• Client Care & File Management
  • Client Care Policy
  • File and Case Management Procedure
  • Conflicts Policy
  • File Review Policy
  • Complaints and Reporting Policy
  • CQS Financial Transactions Procedure
  • CQS Lender Reporting Procedure
  • CQS Leasehold Purchase Policy
  • CQS Stamp Duty Land Tax Policy
  • Insurance Distribution Directive Policy
  • Third Party Services Procedure
• Information Technology & Data Protection 
  • Information Management & Security Policy
  • Data Protection Policy
  • Data Breach Reporting Procedure
  • Data Subject Access Request Policy
  • Email Policy
  • Website Management Policy
  • Retention and Disposal Policy
  • Secure Desk Policy
  • Accepting, Storing and Processing Cardholder Data Policy
  • Bring Your Own Device Policy
  • Social Media Policy
•  Anti-Money Laundering & Legal and Regulatory Compliance 
  • 7.3 AML and CFT Compliance Policy Dec25 NEW
  • Anti-Money Laundering Employee Screening Policy
  • Sanctions Policy
  • Anti-Bribery Policy
  • Gifts Policy
  • Anti-Facilitating Tax Evasion Policy
  • Mortgage Fraud and Property Fraud Prevention Policy
  • Whistleblowing Policy
  • Compliance Plan Dec25

Appendices

1. New Employee Induction Pack
2. Employee Ongoing Due Diligence
3. Money Laundering Internal Report Form
4. Independent Audit and Review of AML and Financial Crime Risk
5. New Matter Opening Form 
6. Customer due diligence form – Individual 
7. Customer due diligence form – organisation 
8. Conveyancing Money Laundering Risk Assessment 
9. Private Client Money Laundering Risk Assessment
10. Data subject access request form 
11. COLP Monthly Monitoring Report 
12. Complaints Procedure 
13. Conflict Report to Director – Sale 
14. Conflict Report to Director – Purchase
15. Demands and needs letter
16. CQS Checks Prior to Conveyancing Transfers 
17. File Closure Form – Conveyancing 
18. File Closure Form – Private Client
19. Will Attendance Note 
20. Sanctions Report Form 
21. Privacy notice for employees, workers and contractors
22. Leavers checklist and Exit Interview
23. Conveyancing Source of Funds and Wealth Report 
24. Probate Source of Funds and Wealth Report 
25. Initial Conflict Check
26. PEP Risk Assessment