An annual checklist for accountancy and bookkeeping practices covering PII limits and policy terms, other insurances, registrations, professional body requirements and a compliance calendar.
Accountancy practice – compliance & management
Professional Indemnity Insurance and Regulatory Compliance Checklist
About this document
A practice-wide checklist the principals complete each year, usually before PII renewal and the professional body annual return, to confirm that the firm has the right insurance and holds every registration and authorisation it needs, and that its core compliance procedures are in place.
The document is laid out in the sections below. Each one comes with a plain-English guidance note explaining what it does and what to change.
Our templates are professionally structured starting points for UK businesses, not legal advice. For anything complex, unusual or high-value, have your final version checked by a solicitor.
Included in the pack
Accountancy practice – compliance & management
for every document in this category
Editable Microsoft Word files
Guidance notes in every document
Written for UK businesses
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