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Professional services pack

Accountancy and bookkeeping businesses must be supervised for anti money laundering, either by a professional body or by HMRC, and must carry out client due diligence before acting. An engagement letter defining scope is the single document that prevents most fee and liability disputes.

Sector pack · 28 documents · 158 pages

The short answer

Who this pack is for

Accountants, bookkeepers and payroll bureaux
Consultants and agencies working on retainer
Practices formalising client onboarding
Firms registering for HMRC AML supervision
Anyone working without engagement letters

Not for you if: You need conduct specific documents for a regulated profession such as law or financial advice.

What it solves

A client disputes fees for work that was never scoped in writing.

An AML supervisor asks for client due diligence records.

A disengagement turns messy with no file closure process.

What the law requires

AML supervision and due diligence

Firms within scope must be supervised, apply customer due diligence before establishing a business relationship, and keep records for five years. HMRC supervises where no professional body does.

Source: HMRC, money laundering supervision guidance

Engagement letters

Scope, fees, responsibilities and termination in writing is both professional standard and the practical defence against scope creep and fee disputes.

Source: Professional body guidance; Consumer Rights Act 2015 where consumers

Conflicts and file retention

A conflict register and a defined retention period for client files are expected by supervisors and insurers alike.

Source: HMRC AML guidance; ICO retention

What is in the pack

ID	Document	Pages
PRO-01	Engagement letterProfessional body guidance	7
PRO-02	Client onboarding and AML checklistHMRC AML guidance	6
PRO-03	Conflict of interest registerProfessional standards	3
PRO-04	File retention and closureICO; AML five year rule	4
PRO-05	Professional indemnity cover statementInsurer requirements	3
PRO-06	Disengagement letterProfessional body guidance	3

Includes the core twenty two: employment contract, staff handbook, disciplinary, grievance, absence, holiday, right to work, leaver, pay and pension, customer and employee privacy notices, retention schedule, data protection policy, subject access procedure, health and safety policy, risk assessment, fire risk assessment, accident book, terms of sale, late payment letters, expenses policy, year end checklist.

How updates work

Every document carries a version number and a reviewed date. On the first Tuesday of each month the pack is checked against its primary sources. If anything has changed you receive the updated file and one line explaining what moved and why. If nothing has changed you receive an email saying so.

April and the Budget are the months when most figures move.

Questions

Does this make me AML compliant?

It gives you the documented procedures and records. Supervision registration and ongoing checks are yours to maintain.

Is it suitable for consultants outside accountancy?

Yes. The engagement letter and onboarding documents apply to any professional retainer.

Does it include fee schedules?

It includes the structure. Rates are yours.

What about client money?

Client money rules are body specific and outside this pack.

How is it delivered?

By email, as Word and PDF files, personalised with your practice details.

Sources

Built from published UK primary sources only: HMRC AML guidance; ICO retention, HMRC, money laundering supervision guidance, Professional body guidance; Consumer Rights Act 2015 where consumers. No secondary or aggregator sources are used.

Enquire about the professional services pack

Send an enquiry with your company name and sector. We confirm the order and invoice you, then merge your details into all 28 documents and email the pack to you.

Enquire: pack with 12 months of updates · £399 Enquire: documents only, no updates · £249

Templates, not legal advice, licensed for one business. Payment is by invoice, in pounds. If you are buying for an association, say so in the form below.

Questions, or buying for an association? licence

Questions before you buy? Write to us and we will answer the same day.

Email support@kaeltripton.com

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Templates, not advice

These documents are drafted from published UK primary sources and are a starting point you adapt to your own circumstances. They are not legal, tax or immigration advice, and documents you edit become your responsibility.

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