Professional Services Compliance Software
Protect Your Firm with Robust Policy Management
Professional services firms—from law firms to accounting practices to consulting firms—face unique compliance requirements including professional ethics, client confidentiality, and industry-specific regulations. PolicyTrak helps firms create, distribute, and track policy compliance across all offices and practice areas.
Partners
Brands that Trust Copliancy Products
PolicyTrak is the leading compliance solution for professional services
Law Firms • Accounting Firms • Consulting • Engineering
Navigate Professional Ethics and Regulations
Professional services firms face industry-specific regulatory requirements. PolicyTrak’s Law Watcher monitors:
- Professional Ethics Rules — Track changes to bar association, CPA, and other professional ethics requirements.
- Industry Regulations — Monitor SEC rules for accounting firms, legal ethics for law firms.
- Data Privacy Laws — Track GDPR, CCPA, and other privacy requirements affecting client data.
- Multi-Jurisdiction Requirements — Firms operating in multiple states need to track varying rules.
Standardize Firm Policies Across Offices
Growing firms need consistent policies across all offices and practice areas:
- Conflicts of Interest — Clear procedures for identifying and managing conflicts.
- Client Confidentiality — Standardized procedures for protecting client information.
- Quality Control — Consistent review and approval procedures for deliverables.
- Billing and Collections — Uniform billing practices and collection procedures.
Support Regulatory Compliance and Inspections
Professional services firms face peer reviews and regulatory inspections. PolicyTrak provides:
- Documented Policies — All firm policies organized and accessible.
- Training Records — Evidence that staff understand ethical requirements.
- Version Control — Complete history of policy changes.
- Quality Assurance — Documentation supporting quality control systems.
Ensure Professional Staff Compliance
Professional ethics require documented training and awareness:
- Ethics Training — Track annual ethics training and CPE requirements.
- New Hire Onboarding — Automatically assign firm policies to new professionals.
- Practice-Specific Policies — Different requirements for different practice areas.
- Partner Attestations — Annual partner acknowledgments of firm policies.
