Playbook · Firm compliance

An escalation route people actually use.

The policy says concerns go to the COLP. In practice a paralegal with a bad feeling about a source of funds weighs up interrupting a partner, decides it's probably nothing, and carries on. Here's how to build a route that gets used — and how to tell whether yours is.

8 min readUpdated September 2026Member only

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More under this hat

The Compliance Hat →

Firm compliance

Playbook

Compliance as an operating system→

The SRA tells you what compliance is. This piece is the operating model around it — named owners, monthly cadence, evidence trail, calendar. Two hours a month for the COLP/COFA.

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Data & cyber

Playbook

Cyber: what to ask your IT vendor→

Cyber at a small firm is mostly outsourced — the operator's job is to know what should be in place and how to test it actually is. Seven controls, seven questions, one incident response page.

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