on 17-02-2020 02:40 PM
I have just sent the following query to SubscriberReviewProcess@pexa.com.au and DELWP:
I believe that my law firm is being unfairly targeted because I have been outspoken about absurdities I have identified in the subscriber compliance requirements.
I have written a letter of complaint to DELWP after a member of my staff received a second compliance audit, and was then falsely accused of non-compliance.
I have now sought dispensation due to a physical disability I have in relation to the USB key and password requirements, but I have received no response to my request. After following up with DELWP this morning on this issue I find that my law firm is now the target of PEXA compliance audit.
Please explain as to why my firm is being overwhelmed with compliance audits and reviews, and whether this is an attempt to silence me through a form of regulatory bullying."
I am growing tired of these micro-managing bullies who want to quote rules and regulations but fail in developing workable processes. The present requirements force otherwise compliant professionals to find non-compliant work-around alternatives, just to be able to complete a day's work. Not good enough!
on 17-02-2020 06:42 PM
Some of our Subscribers received a message this afternoon in error advising them they had been selected to participate in the next Subscriber Review Process (SRP) conducted by PEXA. Please see this post for further information.
I have been advised that your firm is not included in the next group of participants to complete the SRP, so please disregard the message.
PEXA randomly selects members to participate in the reviews each month, which do focus on different content to the compliance examinations conducted by the land registries across the country.
Our apologies for the confusion and inconvenience, and thank you for reaching out.
on 18-02-2020 07:55 AM
Can you forward to me a copy of the questionnaire please. I am concerned about the micro-management approach developing in this area, and I would like to know how much 'homework' is being dished out to practitioners in the form of compliance audits.
As a legal practitioner I have always been able to operate my law firm on the basis that I carry full responsibility, but it is up to me to do what is necessary to fulfill my responsibilities. Now I am finding that my workload is increasing because I have to satisfy 'regulators' who take no responsibility for anything, but who see it as their role to have me prove to them that I know what I'm doing.
In the case of the DELWP audit, one of my staff was told that she was non-compliant because the VOI on record was a little over 2 years old, for a long-standing client whom all of my staff and I know personally. (To take it to the extreme, I require family members to complete VOI when we act for them, but I will not ask them to do it every two years. However, DELWP will still regard this as a non-compliance.) When I asked for the non-compliance allegation to be withdrawn my request was refused point-blank.
The regulators, including PEXA, need to put some effort into reforming some of the unworkable regulations instead of harassing professionals who are struggling to work within them.