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Legal Risk Assessment Questionnaire
Your Details
Please provide your email address so we can forward your legal risk map and report.
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Please tell us your company name.
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The legal bit.
Please click 'Y' if you want us to contact you after you have completed the questionnaire. Please Click 'N' if you just want the results sent to your email address with no further follow-up.
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A
Y
B
N
Company Business and Activities.
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Company Structure
Do you have a holding company with subsidiaries model ?
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A
Yes
B
No
Are you a single limited company ?
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A
Yes
B
No
Are you more than one limited company ?
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A
Yes
B
No
Are you a Limited Liability Partnership (LLP) ?
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A
Yes
B
No
Are you a simple (unregistered) partnership ?
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A
Yes
B
No
Are you a Sole Trader?
*
A
Yes
B
No
Are you a not for profit organisation?
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A
Yes
B
No
Are you are registered charity?
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A
Yes
B
No
Are you a Community Interest Company (CIC)?
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A
Yes
B
No
Are you a PLC?
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A
Yes
B
No
Governing Documents & Structure
Do you have Articles of Association ?
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A
Yes
B
No
If you do have Articles of Association, please confirm if they are standard (click yes) or amended (click no).
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A
Standard
B
Amended
Do you have a Memorandum of Association ?
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A
Yes
B
No
Do you have a Shareholders Agreement(s) ?
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A
Yes
B
No
Do you have a Partnership Agreement?
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A
Yes
B
No
Do you have Directors Agreements?
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A
Yes
B
No
Shareholder Structure
Which of the following describes your shareholder structure?
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A
There is only one shareholder
B
There is more than one shareholder with the same class of shares
C
There is more than one shareholder and there are different classes of shares
D
I have no idea of the shareholder structure or of shareholder responsibilities
Policies & Procedures
Do you have any sort of Policy Documents in place?
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Modern Slavery and Human Trafficking
Anti Bribery and/or Anti Corruption
Third Party Suppliers
Anti-Money Laundering and Counter Terrorist Financing
Company Roles and Responsibilities
Client Due Diligence
Health and Safety (Duty of Care)
Risk Assessments
Financial Controls
Recruitment
Equal Opportunities
Security
Corporate and Social Responsibility
Performance and Appraisals
Disciplinary and Grievance
Sexual Harassment
Human Resources
Travel
Data Protection/GDPR/Cyber
We do not have any sort of policies
Suppliers & Clients
Third Party Suppliers policy status
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A
We have third party suppliers and we have service agreements/contracts in place with them
B
We have third party suppliers but we do not have contracts in place with them
C
We impose standards on third party suppliers that are explained in our company polices
D
We have no policies on third party suppliers
Client contract status
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A
We have contracts in place with our clients for supply of our services
B
We do have clients, but we have a basic set of T&C’s for providing services
C
We do have clients but we do not have any contracts in place
Succession Planning & Staffing
Succession planning status
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A
We have an active and maintained succession plan in place in the event of the owner(s) or shareholders becoming ill, leaving, dying or selling
B
The succession planning considers power of attorney and what would happen to shareholders shares in the event of their death.
C
We know we need it, but haven’t given any thought to it
D
We are too young for succession planning as a company
Do you employ staff ?
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A
Yes
B
No
Employment/Contract status
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We have written employee contracts in place
We have employees, but no written employee contracts in place
We have written consultant contracts in place
We understand IR 35 compliance
We use consultants, but no contracts in place
We understand issues surrounding rights to work and visas
Insurance & Standards
Duty of Care approach
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A
We understand the principles of negligence and take active steps to reduce risk to staff and consultants
B
We don't have any active focus on Duty of Care matters
C
Our approach to duty of care is entrenched into our risk assessment process and policy
Insurance coverage
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We have insurance that we are certain covers our risks and professional activities in full
professional indemnity
employer's liability
public liability
We have insurance, but we don’t know if it provides adequate cover
We don’t have any insurance at all
Do you have any ISO’s or similar styled standard marks in place?
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A
Yes
B
No
If you don’t, do you plan to have any in place ?
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A
Yes
B
No
Data Protection & Intellectual Property
Data Protection/GDPR approach
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A
We are required to be signed up to the Information Commissioners Office and understand our obligations
B
Our professional activities have no relevance to data protection law except for the standard application regarding personal data
C
Our professional activities have major connectivity with data gathering
D
We are aware of the Data Protection Act 2018 (known as GDPR) and recognise the risk of not complying with it and it is incorporated within our policies
E
We have an awareness of Data Protection requirements but don’t actively comply with them in policies
Do you consider your business name, product name, or slogan to be a valuable asset?
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A
Yes
B
No
Do you have a distinct logo that identifies your business?
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A
Yes
B
No
Have you used other peoples' text, music, or photographs during the course of your business e.g. on your website?
*
A
Yes
B
No
Have you bought another companies logo or branding?
*
A
Yes
B
No
Do you consider your business to have trade secrets?
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A
Yes
B
No
Submit