GDPR & Professional Compliance Guide

Comprehensive guidance for using FileSeal in compliance with GDPR, professional regulations, and industry standards across UK legal, financial, and professional services.

Quick Compliance Checklist

✅ GDPR Compliance in 5 Minutes:

Review Privacy Notice: Include FileSeal usage in your privacy policy
Client Consent: Inform clients about secure document sharing
Data Retention: Set appropriate expiry times for requests
Professional Setup: Complete your professional profile
Audit Readiness: Keep records of document sharing activities

Most professionals are already compliant - FileSeal's architecture handles the technical requirements automatically.

GDPR Compliance Framework

Data Protection by Design

FileSeal implements GDPR Article 25 requirements through:

Technical Measures

Client-side encryption: Data protected before transmission
Zero-trust architecture: Server never accesses plaintext
Automatic deletion: Data removed after download/expiry
Access controls: Professional authentication required
Audit trails: Complete processing records maintained

Organisational Measures

Data minimization: Only essential data collected
Purpose limitation: Data used only for document transfer
Transparency: Clear privacy notices provided
Professional training: GDPR-compliant usage guidance
Regular assessments: Ongoing compliance monitoring

Legal Basis for Processing

Article 6 Legal Bases

Legitimate Interests (Article 6(1)(f))
- Professional service delivery
- Client relationship management
- Security and fraud prevention
- Legal compliance requirements
Contract Performance (Article 6(1)(b))
- Professional service agreements
- Client engagement letters
- Regulatory compliance obligations
Legal Obligation (Article 6(1)(c))
- Professional conduct rules
- Regulatory reporting requirements
- Anti-money laundering compliance

Data Subject Rights Implementation

Right of Access (Article 15)

Request Process: Submit via support@fileseal.uk
Response Time: Within 30 days
Information Provided: Complete processing details
Professional Support: Assistance with client requests

Right to Rectification (Article 16)

Correction Process: Update inaccurate information
Professional Control: Manage client data accuracy
System Updates: Automatic correction propagation
Audit Trail: Changes logged for compliance

Right to Erasure (Article 17)

Automatic Deletion: Files removed after download/expiry
Manual Deletion: Professional-controlled removal
Backup Cleanup: Complete data elimination
Verification: Deletion confirmation provided

Right to Data Portability (Article 20)

Export Formats: Standard file formats maintained
Original Quality: No data degradation
Professional Access: Complete data extraction available
Client Requests: Supported through professional accounts

Professional Regulation Compliance

Legal Profession (SRA/Law Society)

Solicitors Regulation Authority (SRA) Requirements

SRA Standards and Regulations Compliance:

Client Confidentiality (SRA Principle 6)
- Zero-trust encryption protects privileged communications
- No third-party access to unencrypted documents
- Professional control over access and sharing
- Audit trails for privilege claims
Client Information Security (SRA Code Para 8.5)
- Enterprise-grade encryption (AES-256-GCM)
- Secure transmission protocols
- Professional authentication required
- Regular security assessments
Record Keeping (SRA Code Para 8.1-8.4)
- Complete audit trails maintained
- Professional access to all records
- Client communication documentation
- Regulatory compliance evidence

Law Society Guidelines

Technology Standards: Approved security measures
Client Care: Professional communication protocols
Data Protection: Enhanced privacy protections
Professional Indemnity: Insurance compatibility confirmed

Financial Services (FCA/PRA)

Financial Conduct Authority (FCA) Compliance

SYSC (Senior Management Arrangements) Requirements:

Operational Risk Management
- Comprehensive security controls
- Business continuity planning
- Incident response procedures
- Regular risk assessments
Data Governance
- Client data protection protocols
- Professional access controls
- Audit trail requirements
- Regulatory reporting capabilities
Technology Risk Management
- Secure system architecture
- Regular security testing
- Vulnerability management
- Third-party risk assessment

Prudential Regulation Authority (PRA)

Operational Resilience: System availability and security
Third Party Risk: Vendor management compliance
Data Governance: Professional data handling standards

Professional Bodies Compliance

Institute of Chartered Accountants (ICAEW)

Professional Standards: Client confidentiality protection
Technology Guidelines: Approved security measures
Data Protection: Enhanced client privacy
Professional Indemnity: Insurance coverage compatibility

Royal Institution of Chartered Surveyors (RICS)

Client Money Protection: Secure document handling
Professional Standards: Confidentiality requirements
Technology Adoption: Modern security standards
Regulatory Compliance: Professional obligation support

Industry-Specific Compliance

Healthcare (NHS/CQC)

Information Governance Requirements

IG Toolkit Compliance: NHS information standards
Clinical Confidentiality: Patient information protection
Caldicott Principles: Justified information sharing
Professional Registration: GMC/NMC compliance support

Data Security and Protection Toolkit (DSPT)

Mandatory security standards compliance
Annual assessment requirements
Incident reporting procedures
Professional training requirements

Education (DfE/Ofsted)

Keeping Children Safe in Education (KCSIE)

Safeguarding Requirements: Secure information sharing
Professional Boundaries: Appropriate communication channels
Data Protection: Student information security
Incident Management: Professional reporting procedures

Property/Conveyancing

Council for Licensed Conveyancers (CLC)

Client Confidentiality: Transaction information protection
Money Laundering Regulations: Identity verification support
Professional Indemnity: Insurance requirement compliance
Regulatory Reporting: Compliance documentation support

International Compliance Considerations

Brexit and Data Transfers

UK GDPR Implementation

Adequacy Decisions: EU data transfer compliance
Standard Contractual Clauses: International transfer mechanisms
Transfer Impact Assessments: Risk evaluation procedures
Professional Guidance: Cross-border compliance support

Data Localization

UK/EU Hosting: Regional data residency options
Professional Requirements: Jurisdiction-specific compliance
Regulatory Alignment: International standard harmonization

Compliance Implementation Guide

Professional Setup Checklist

Initial Configuration

[ ] Professional account verification completed
[ ] Data processing agreements reviewed
[ ] Privacy impact assessments conducted
[ ] Client notification procedures established
[ ] Audit trail monitoring configured

Ongoing Compliance

[ ] Regular privacy policy reviews
[ ] Client consent management
[ ] Data retention policy compliance
[ ] Incident response procedures tested
[ ] Professional training completed

Ready-to-Use Templates

Privacy Notice Text (Copy & Paste)

Add this to your privacy policy:

Secure Document Sharing: We use FileSeal, a zero-trust encrypted platform, to securely collect and share your sensitive documents. Your documents are encrypted on your device before transmission, ensuring maximum privacy and security. We process this data under our legitimate business interests and professional obligations, in accordance with GDPR and industry regulations.

Client Email Templates

When requesting documents:

Hello [Client Name],

For security reasons, I'm requesting your documents via FileSeal's encrypted platform rather than email. This ensures your sensitive information remains private and secure throughout the process.

Please use this secure link: [LINK]

Your documents will be encrypted before leaving your device and can only be accessed by me.

Best regards,
[Your name]

When a client asks about data protection:

FileSeal uses zero-trust encryption, meaning your documents are locked in a digital safe before they leave your device. Even FileSeal cannot access your files - only I can unlock them. This exceeds GDPR requirements and ensures your complete privacy.

Quick Response Templates

Data Subject Access Request: "I'll provide all information about documents you've shared via our secure platform within 30 days."

Right to Erasure: "Your documents are automatically deleted after download/expiry. I can confirm deletion has occurred."

Data Correction: "I can update any incorrect information in my records. The secure sharing itself maintains document integrity."

Real-World GDPR Scenarios

Common Client Questions & Your Responses

Client: "Who can see my documents?"
Your response: "Only I can access them. FileSeal encrypts your documents on your device before sending, so even FileSeal cannot see them. It's like posting a locked safe that only I have the key to."

Client: "How long do you keep my documents?"
Your response: "Documents are automatically deleted after [expiry period] or immediately after I download them, whichever comes first. There's no long-term storage."

Client: "Can I see what data you hold about me?"
Your response: "Absolutely. Under GDPR, you have the right to see all data I hold about you. I can provide this information within 30 days of your request."

Client: "I want my data deleted."
Your response: "Documents are automatically deleted from the secure platform after use. I can also delete any copies I've downloaded if no longer needed for professional purposes."

Professional Compliance Scenarios

Scenario: Regulator asks about your data security measures
Response: "We use FileSeal's zero-trust encryption platform, which exceeds GDPR requirements. Documents are encrypted before transmission, and we maintain complete audit trails."

Scenario: Client complaint about data security
Response: "We've implemented enterprise-level security for document sharing. Your documents were encrypted on your device and automatically deleted after use, providing maximum protection for your sensitive information."

Quick Risk Assessment

Using FileSeal significantly reduces your GDPR risks:

✅ Data breaches: Almost impossible due to zero-trust encryption
✅ Unauthorised access: Technical controls prevent this
✅ Data retention: Automatic deletion ensures compliance
✅ Professional standards: Meets all UK regulatory requirements
✅ Audit trails: Complete records for compliance demonstrations

Professional Risk Management

Risk Mitigation Strategies

Technical Risks: Mitigated by enterprise-grade security
Compliance Risks: Addressed by regulatory alignment
Professional Risks: Managed through audit trails
Client Risks: Minimized by privacy-by-design architecture

Support and Resources

Professional Compliance Support

Regulatory Guidance: Professional-specific advice
Compliance Documentation: Template policies and procedures
Training Resources: Professional education materials
Expert Support: Regulatory compliance assistance

Audit and Assessment Services

Compliance Reviews: Professional usage assessments
Documentation Support: Regulatory reporting assistance
Best Practice Guidance: Optimisation recommendations
Ongoing Monitoring: Continuous compliance support

Professional Excellence: Complete your compliance journey with Professional Customization and Notification Settings.

GDPR & Compliance