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Regulation and Compliance

Post by Admin , Oct 23, 2019.

Are you prepared? New SRA Standards and Regulations are set to come into force in November 2019

The Reforms were approved by the Legal Services Board last year and have been developed over a 4-year period, with more than 35,000 members of the public, the profession and wider stakeholders getting involved.  To find out more read the article from our business partner The Strategic Partner on what has changed.  Find Out Here

Regulation and compliance - Visibility and management of email communication

Comply with Regulation and Prevent Fraud through pro-active automated software solutions – MailMinder and MailMinder Plus.

The Solicitors Code of Conduct, Version 19 requests Solicitors to have a system of supervision in place to check the quality of work.

This requirement has been in place through each iteration of the code of conduct. When drafted, the role of supervision, amongst file audits and risk assessments, would be for Partners to check the incoming post and though doing so a Partner of a law firm would be able to identify potential issues by highlighting, for example, allegations of negligence or complaints.

O(7.8)

you have a system for supervising clients' matters, to include the regular checking of the quality of work by suitably competent and experienced people;

With the shift to the use of emails as a primary tool of communication the simple process of checking correspondence is frustrated as it is not as convenient or in some cases possible to review all incoming and outgoing email traffic.

The result of this is that the supervisory requirements are arguably not being met due to visibility being lost. Whilst firms will doubtless undertake audits, these are often reactionary and finding an issue is not as easy as it would have been by spotting a letter in the post giving cause for concern.

This relatively straightforward advancement in communication methods has denied law firms of one of the most simple and effective methods of supervising their firm which puts them at risk

A solution to this issue can be found in Rubix MailMinder

Rubix MailMinder has two levels: -

MailMinder - A software solution that attaches itself to a firms email exchange server and reads all communication that passes through it. The software does not impact on the user’s desktop experience of their email but as it sits at server level (both local and cloud). Due to this, MailMinder will monitor, based on a set of rules and indicative keywords, all email traffic to and from the firm. The system will then take action based on the requirements of each firm.

MailMinder + - As an extension of the standard MailMinder solution, MailMinder + will also interact with a firms history on their case management system and post to that history a copy of any outgoing or incoming email that has not already been store.  Through doing so, firm can be assured that all correspondence attaching to a case file will be recorded properly in the appropriate order providing full visibility to all across the firm.

The MailMinder solutions have been developed with law firms in mind to address obvious issues arising from advancements in technology and to put law firms and their owners back in control.

The system is simple to use and easy to programme with users and keywords managed from a central dashboard that can be operated within a firm.

MailMinder is also an effective tool for highlighting potential fraud and providing pro-active techniques to combat and avoid fraudulent transactions.

Some examples of how MailMinder can work for a firm: -

 - An email is sent from a client with the word “complaint” either in the title or text of the email. The MailMinder system will identify the word complaint and automatically send a copy of the email to the complaints partners for handling. The file can be requested as needed for a full audit and for the compliant to be dealt with.

 - An email is received asking for “client account details”. MailMinder will highlight the request and send a copy of the email to the COFA for investigation as needed.

 - An email is sent from the firm with the firm’s accounts number and sort code. The firm has a strict policy not to do this. MailMinder will identify the email and forward to the COFA for immediate action.

 - A firm makes use of technology to receive email communications from clients that requires the client to include a reference number for the incoming email to be loaded into the appropriate file on the case management system. If the email does not include the reference MailMinder will identify this and return the email to the client with a request to include the reference number.

 - A fee earner sends an email to a client from their smart phone out of office hours and not through the case management system. MailMinder will pick up the email and any subsequent emails to and from the client and attach it the case history.

MailMinder provides law firms and their owners with peace of mind. It works silently and effectively within a firm and is fully scalable.

With pricing from as little at £8 per monitored mailbox per month MailMinder provides firms of all sizes with a cost effective solution to protect their business and comply with regulation. 

Other benefits of Mail Minder Include: -

·         New Business enquiry management

·         Quality Control

·         Regulation Compliance

·         Visibility of all email communication from desk tops, smart phones and tablets

·         Automation of otherwise manual processes

·         Saves time on supervision

·         Ensures full case history on a case management system

·         Improves time recording efficiency

For a Demonstration of MailMinder you can email Rubix at info@rubixtech.co.uk or call us on 020 3947 3695

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