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Recent Regulation and Compliance

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  • 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?

  • Steve Ray

    Shifting sands

    15 January 2019 By Steve Ray, Jenny Screech

    PII is in flux. The market is hardening, free post-run-off cover is ceasing, regulatory changes will introduce classes of solicitor with less or no cover, and proposed changes could reduce minimum cover. Steve Ray and Jenny Screech round up the changes, and the likely effects

  • Jonathon Bray

    The devil’s in the detail

    15 January 2019 By Jonathon Bray

    Jonathon Bray provides a personal perspective on the SRA’s new rulebook, and the complexity it could create in the profession

  • Sarah Brodie

    Crystal clear

    5 December 2018 By Sarah Brodie

    From 6 December 2018, law firms undertaking a number of common areas of work will need to publish price- and service-related information on their websites. Sarah Brodie looks at what this could mean in practice

  • brexit 497x265

    Law Society publishes no-deal Brexit guidance

    8 November 2018

    What action should your firm be taking in a no-deal scenario?  The Law Society has published a series of papers for solicitors in the event of a no-deal Brexit, including the impact of the loss of judicial cooperation mechanisms and how to provide legal services in the EU.

  • mind the gap sign

    Law Society launches best practice guidance on gender pay gap reporting

    6 November 2018

    Following the introduction of mandatory gender pay gap reporting in 2017, the Law Society has produced guidance for the profession to capture the best practice that will help us set the right standards for the legal sector and build a clearer picture and way forward

  • risk

    LSB gives green light to SRA regulatory changes

    6 November 2018

    The Legal Services Board (LSB) has confirmed it will rubber-stamp changes to allow multiple tiers of solicitors and reduce protections for the public. We believe these changes will put consumers at risk

  • man typing on computer 390x234

    SRA releases new guidance on price transparency

    4 October 2018

    Law firms will have to publish details of their employees’ experience and the time work is likely to take – as well as their prices – when new transparency rules come into force in December. 

  • Amy Bell

    Held to account

    2 October 2018 By Amy Bell

    Amy Bell offers her top five tips for accounts staff to help in the fight against money laundering through client accounts

  • Paul Bennett

    Making ready

    2 October 2018 By Paul Bennett

    The Solicitors Regulation Authority has now submitted its proposed Handbook reforms to the Legal Services Board. Paul Bennett looks at the changes in the new versions, and what you need to do now to get prepared

  • Paul Bennett

    Ethical imperative

    2 October 2018 By Paul Bennett

    Paul Bennett looks at the ethical aspects of how law firms should manage misconduct, and why the 2019 regulatory changes will mean firms need to manage ethical risk in a new way 

  • email

    Legal Ombudsman advises law firms to avoid web-based email

    20 September 2018

    In new guidance, the Legal Ombudsman (LeO) has urged firms to consider investing in a corporate email solution that can be properly protected rather than web-based solutions.

  • Lawyers reporting wrongdoing conversation

    SRA asks: when should firms report potential wrongdoing?

    8 August 2018 Updated: 19 September 2018

    Regulators have begun a major review of reporting requirements for firms dealing with suspected misconduct by their employees.

  • 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?

  • SRA logo

    Super regulator must reject uneven rules for solicitors, Law Society says

    15 June 2018

    The Solicitors Regulation Authority (SRA) is pushing ahead with rule changes that will create different tiers of regulation within the solicitor profession. The Law Societry has urged the Legal Services Board (LSB) to reject these proposals. 

  • PII image

    The proposed PII reforms – who benefits?

    4 June 2018

    The Solicitors Regulation Authority (SRA) wants to reduce the minimum levels of insurance cover that regulated firms must hold. The Law Society will be submitting our analysis of the proposals. But one of the questions we are left with is: who will benefit from these reforms?

  • 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.

  • andrew kimble

    Just the job

    16 January 2018 By Andrew Kimble, Dan Fawcett

    The GDPR is just four months away. Firms may already be prepared for major changes to how they handle client data, but do you know it also applies to data on your people? Andrew Kimble and Dan Fawcett provide a guide for managing partners and HR professionals

  • Paul Bennett

    Cracking the codes

    16 January 2018 By Paul Bennett

    The Solicitors Regulation Authority is set to introduce a new compliance regime, and the changes are the most significant since 2011. Paul Bennett outlines the proposals and their potential impact, to help you plan ahead

  • consultation book dictionary 390x234

    Law Society responds to SRA consultations

    13 December 2017

    The Law Society has responded to two Solicitors Regulation Authority consultations: ‘Looking to the Future: better information, more choice’ and ‘Looking to the Future: phase two of our Handbook reforms’

  • megaphone loudhailer

    Law Society publishes briefing on SRA consultations

    23 November 2017

    The Law Society has published a briefing summarising the SRA’s proposals on handbook reform and price and service transparency

  • Pearl Moses

    Gift register

    10 October 2017 By Pearl Moses

    A risk register may seem like just another regulatory requirement, but an effective one can help you not only identify and mitigate risks, but also reduce your insurance premiums, build client loyalty, and reduce complaints. Pearl Moses explains. 

  • alison matthew 84x84

    Playing catch up

    10 October 2017 By Alison Matthews

    The new money laundering regulations have been in force for over three months, but is your firm compliant? Alison Matthews provides an overview of the requirements for law firms.

  • anna gregory

    Course of action

    10 October 2017 By Anna Gregory, Sara Hunt

    The continuing competence regime, replacing the old CPD requirement, came into force nearly a year ago. Anna Gregory explains how her firm has embraced the new approach to introduce an experiential learning culture, including action learning.

  • ann harrison 84x84

    In the balance

    10 October 2017 By Ann Harrison

    The legal press is full of stories about the risks of the new General Data Protection Regulation, but might there be an upside to compliance? Ann Harrison looks at the potential benefits – as well as the burdens and risks. 

  • Gazette cybersecurity supplement 2017 cover

    Gazette publishes cybersecurity supplement

    3 October 2017

    The Law Society Gazette has published a sponsored supplement on cybersecurity issues for law firms

  • hacker

    FAQ: How to evaluate potential cyber risks in a law firm

    27 September 2017

    The Law Society’s Practice Advice Service shares information on assessing potential cyber risks

  • person holding floppy disk

    Under control?

    4 July 2017 By Owen O’Rorke

    Do you know that your law firm is a data controller under the new General Data Protection Regulation, and you must comply with them, or face fines of up to €20m or four per cent of your annual global turnover? Owen O’Rorke provides a beginner’s guide to compliance

  • Photograph Paul Bennett, Aaron & Partners LLP

    Order order

    4 July 2017 By Paul Bennett

    Having the SRA arriving at your firm with a production order requiring you and your firm to deliver documents to it is a daunting experience. Paul Bennett outlines how to get your firm ready for investigation in case it should happen

  • Better Employment Law report cover

    Law Society responds to Independent Review of Employment Practices in the Modern Economy

    21 June 2017

    The Law Society has called for an independent government inspector to enforce workplace rights, employment statuses and rights to be clearly defined in a single piece of law, and for large employers to report publicly on their employment practices

  • SRA logo

    Consumer protections swept away by regulator, warns Law Society

    15 June 2017

    News that the Solicitors Regulation Authority (SRA) is set to push ahead with changes to the rules governing solicitors has been greeted with dismay by the Law Society.

  • 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 

  • risk

    Website compliance for law firms (29 September)

    1 September 2016

    Join this webinar to gain practical guidance on how to minimise your website compliance risk. 

  • The Solicitor's regulation authority

    Proposed regulatory changes could erode client protection and create two-tier profession

    24 August 2016

    The SRA published a consultation on proposed changes to the Handbook for solicitor and firm regulation on 1 June. We believe that the proposals, if accepted, will leave clients and consumers with less protection and could result in a ‘two-tier’ solicitor profession

  • catherine dixon

    SRA Handbook proposals: Catherine Dixon responds

    24 August 2016 By Catherine Dixon

    The Solicitors Regulation Authority is consulting on major changes to the SRA Handbook. Law Society chief executive Catherine Dixon outlines the risks the proposals present to the legal profession and to clients

  • 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

  • Paul Bennett

    Helping handbook?

    2 August 2016 By Paul Bennett, Melanie O’Brien, Matt Howgate, Sarah Charlton

    In June, the Solicitors Regulation Authority launched a consultation on proposed changes to the SRA Handbook. But are the changes the right ones? And how could they affect firms and their leaders? Paul Bennett, Melanie O’Brien, Matt Howgate and Sarah Charlton consider

  • Nicola Jones

    The final countdown

    6 May 2016 By Nicola Jones, Jane Green-Armytage

    The changes to continuing professional development will be mandatory from 1 November 2016. Nicola Jones and Jane Green-Armytage look at how firms are responding, and the pros and cons of adapting the old regime versus embracing a competency-based approach

  • 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

  • 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.

  • Loudspeaker

    SRA to review Handbook and Accounts Rules - have your say

    10 February 2016

    SRA set to review the Accounts Rules this spring - let us have your views to form our policy position

  • man holding clock graphic 1000x1000

    Much obliged

    10 February 2016 By Lucy Trevelyan

    Outcomes-focused regulation was intended to offer firms greater flexibility, but many now cite compliance obligations as a significant burden. Leading commentators and practitioners talk to Lucy Trevelyan about trends in regulation, and offer their top tips for effective compliance.

  • learning

    Law Society publishes guidance on 'Continuing Competence'

    4 February 2016

    The Law Society has published guidance for solicitors to help them adapt to the Solicitors Regulation Authority’s new learning and development regime, known as ‘Continuing Competence’

  • Ethics

    Law Society launches interactive ethics training

    3 December 2015

    The Law Society has launched the first of a suite of interactive ethical scenarios, through its online continuing professional development centre, to support solicitors to recognise and navigate difficult situations they may encounter in their professional lives

  • The Solicitor's regulation authority

    Reform of financial management regulation

    27 October 2015 By Crispin Passmore

    Crispin Passmore explains how the SRA intends to reform how it regulates financial management in response to changes in consumer and market behaviours 

  • risk+compliance traffic light image

    Is it a breach or isn’t it?

    27 October 2015 By Jo Morris

    Jo Morris discusses the difficulties faced by compliance officers and provides a taster of her session at the LMS finance and business conference on 17 November

  • files

    Tips for effective file management and minimising risk exposure

    27 October 2015 By Mark Carver

    Mark Carver provides his top tips for managing client files and minimising risk exposure

  • learning

    Law Society updates CPD practice note

    2 October 2015

    The current CPD system is being replaced by the continuing competence scheme. Our updated practice note explains the transitional arrangements and gives advice on how to get the most from your CPD activities

  • Paul Bennett

    Under orders

    19 August 2015 By Paul Bennett

    Paul Bennett explains how law firms should respond to a production order under the Proceeds of Crime Act 2002

  • Zoe Bodycote

    On auto-pilot?

    4 August 2015 By Zoe Bodycote

    Pensions auto-enrolment has been in force for over three years, but the implementation date for many smaller firms is this October. Are you ready? Zoe Bodycote provides a beginner’s guide to the scheme and the steps you need to take

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