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Recent Regulation and Compliance

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  • barry vitou 140x96

    A gentle nudge

    6 May 2016 By Barry Vitou

    Why don’t most compliance programmes work in practice? Because the traditional theory on which they are based doesn’t take into account how people really behave. Barry Vitou looks at what we can learn from a more recent approach: nudge theory

  • Lucy Trevelyan

    A smaller piece of PII

    3 July 2018 By Lucy Trevelyan

    Lucy Trevelyan looks at the professional indemnity insurance landscape for the years ahead. How can firms take advantage of a soft market and prepare for it hardening? What might proposed changes to minimum cover mean for the profession and clients?

  • Photograph Paul Bennett, Aaron & Partners LLP

    A tall order

    11 April 2017 By Paul Bennett

    Being served with a production order under the Proceeds of Crime Act 2002 can be a frightening experience. Paul Bennett explains how your firm can get prepared, and respond effectively and lawfully if you’re served 

  • Nicola Jones

    After hours

    14 May 2015 By Nicola Jones

    The changes to solicitors’ CPD, from an hours-based to a competency-based regime, are now well under way. Nicola Jones outlines the practicalities of compliance with the new system, and the benefits it can bring for firms and the legal sector

  • jason mitchell 140x96

    All above board

    2 August 2016 By Jason Mitchell

    The SRA Code of Conduct obliges law firms to ensure their fees are transparent to their clients. Firms must not be seen to generate secret profits. Jason Mitchell looks at how to maintain compliance

  • suitcase of money

    Anti-money laundering workshops, nationwide (February to April 2015)

    28 January 2015

    These two-hour seminars will help Money Laundering Reporting Officers to build on introductory anti-money laundering training 

  • George Bull

    Better safe…

    12 February 2014 Updated: 15 October 2014 By George Bull

    The Solicitors Regulation Authority’s focus on financial stability is part of a wider change to the regulatory environment, and what compliance means in practice. George Bull explains how to assess your firm against the regulator’s risk indicators

  • Andrew Allen

    Blow-by-blow account

    15 January 2019 By Andrew Allen

    Andrew Allen provides an overview of the changes to the SRA Accounts Rules, expected to come into force in April 2019. What are the challenges and opportunities, and what do firms need to do now to prepare?

  • cybersecurity

    City of London Police issues advice for solicitors on preventing scams

    3 March 2016 Updated: 15 March 2016

    The City of London’s Economic Crime Prevention Centre has provided advice for solicitors on tackling scams targeted at solicitors’ firms. The article discusses common types of scams and offers practical prevention advice.

  • PII image

    Consumer protection high price to pay for increased competition, says Law Society

    26 March 2018

    Reducing consumer protection standards in legal services would hurt solicitors and clients alike, the Law Society has said in response to proposals to slash levels of mandatory professional indemnity insurance (PII) cover for solicitors.

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