Features and Opinion – Page 3
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Course of action
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.
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In the balance
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.
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Under control?
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
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Order order
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
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A tall order
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
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All above board
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
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Helping handbook?
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
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The final countdown
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
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A gentle nudge
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
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Much obliged
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.
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Reform of financial management regulation
Crispin Passmore explains how the SRA intends to reform how it regulates financial management in response to changes in consumer and market behaviours
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Is it a breach or isn’t it?
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
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Tips for effective file management and minimising risk exposure
Mark Carver provides his top tips for managing client files and minimising risk exposure
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Under orders
Paul Bennett explains how law firms should respond to a production order under the Proceeds of Crime Act 2002
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On auto-pilot?
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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After hours
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
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Under cover
After a year when much-heralded proposals to reform the professional indemnity insurance market flared briefly before being snuffed out, will 2015 see any significant changes in the renewal process? Grania Langdon-Down reports
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Live and learn
The shift from hours-based CPD to competence to practice, announced in May this year, presents an important opportunity for firms to reassess their learning strategy and ensure it contributes to their business needs. Nicola Jones explains
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Officer politics
Pearl Moses looks back at three years of outcomes-focused regulation and two years of the compliance officer regime, and asks what lessons we can learn to ensure compliance in changing times
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