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The needs of each individual firm are unique and as such an understanding of the firm’s requirements to meet technical and compliance standards within the insolvency industry is required. The insolvency industry is an ever-changing landscape and unprepared IPs may easily find themselves non-compliant. Below are some of the services which may help you identify the needs of your firm:

Technical and Compliance Support & Advisory

We provide annual email and telephone support for firms in respect of technical and compliance questions. Whilst the information is provided from legislation, case law and experience within the industry, we also have access to LexisNexis' full insolvency library and we are happy to research any issue where we are unable to provide immediate guidance.

Sometimes working through the strategy with another person on a complex case may help clarify the options available and introduce some options that were not clear before. Large firms have a compliance and technical person present when they are starting a new case; discussing the appropriate strategy to provide a different perspective and ensure that the technical and compliance matters are addressed and appropriately incorporated. We are always happy to discuss strategy with clients.

Information on our technical support service, as well as our document packs and webinars (for CPD) can be found at The Compliance Alliance.

Self-Certificates or Internal Compliance Review for your RPB

The IPA and the ICAEW require that annual case reviews are completed to identify compliance issues and to help you enhance your systems. The areas of self-certification and compliance reviews need to be thorough with an understanding of both technical, practical, commercial and strategic aspects of case management. The ability to identify systemic issues and areas for development and amend your system accordingly will help you to meet your regulatory requirements.

Our reports will provide the above information but will also give practical advice on how to tackle areas identified as requiring development in a proportionate commercial way.

Support with RPB Visits

The periodic visits from your RPB may create anxiety and stress for both yourself and your team. Having an individual with the experience and expertise to deal with the questions and queries that arise may make the process less traumatic and may help to ensure a constructive experience is created. Understanding the implications of the questions being asked may help to ensure that answer addresses the specific circumstances as well as the case management.

Practice Management Review

Having systems in place that meet the requirements of your RPB are a must, but they may also help you and your staff to run cases more effectively, with a greater level of compliance and help enhance the knowledge of all members of the team.

The most important system to have in place is the software system that manages each case. This software needs to provide work programme diaries, standard letters that automatically merge and comprehensive checklists that are as much a source of information as a way of ensuring that all issues that may arise on a case have been understood and dealt with. Your time management system must also be able to provide sufficient breakdown to deal with individual assets and have the flexibility to add codes specific to more complex cases. The system must also allow sufficient text to be entered to reflect the work completed.

These are just the beginning of the issues that need to be considered and the systems that need to be introduced to make you compliant. Money laundering training, Bribery Act training, Ethics, GDPR, data protection certificates, client and case money systems, PII insurance and succession planning all add to the matters you need to consider and the systems you need to have in place.

It may be that you are a new firm and wish to ensure that everything is in place for your next visit or maybe you are an established firm who would just like a review of the systems you initially introduced to ensure that you are still compliant. A one day visit also incorporating a review of a case as well as the other practice management systems may help to identify areas of enhancement.


We are able to provide in-house and remote training in all areas of insolvency.

It may be that after a visit from your RPB or your own internal compliance review has highlighted knowledge gaps in your team; for example, correct allocation of fixed and floating charge assets and liabilities or the statutory requirements of dealing with an administration; a targeted training day which specifically addresses the needs of you and your team may be more constructive than sending the team on various courses.

The training will be participation orientated with each new topic area having a breakout session where the staff apply the knowledge in practical case specific scenarios providing understanding of not just the theory, but also the practical application.