Recent features – Page 3
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Your regulatory questions answered
Our Practice Advice Service answers some commonly asked questions on compliance matters.
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Dubious investment schemes: too good to be true?
Rina Amin, risk and compliance solicitor at Howard Kennedy, shares tips on how to spot a dubious investment scheme.
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Solicitor conduct after Beckwith
Amanda Croxon, risk and compliance solicitor at Howard Kennedy, considers the implications of the Beckwith appeal for the conduct of staff in and out of the workplace.
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Negative interest rates?
Andy Poole, Legal Sector Partner at Armstrong Watson LLP, considers the implications of negative interest rates for law firms.
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LSAG AML guidance - what you need to know
Rick Kent, anti-money laundering policy manager, looks at the key changes introduced by the revised anti-money laundering guidance for the legal sector.
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Risk registers - a useful reminder
Lexcel-accredited firms will be familiar with the concept of an overarching risk register but others might well be less clear about how they work. Fiona du Feu reviews the basics.
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Unexplained wealth orders - where are we now?
Rebecca Atkinson looks at some recent cases where the UWOs have been used with a mixed degree of success.
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Price and service transparency - revisited
In May 2020 the SRA commissioned an evaluation of their Transparency Rules. Janet Noble looks at how the findings can benefit firms.
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Data protection - 8 things to do before the transition period ends
With the UK leaving the EU and the end of the transition period looming, Anna Drozd and Emilio Miranda-Graham from our policy teams outline how to get ready for data protection changes in 2021.
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Complaints - the business case for clarity
Good complaints handling is about communication and clarity. Fiona du Feu, Director of My Compliance Colleague, takes a look at how firms can improve.
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Six ways to ensure effective virtual supervision
Pearl Moses gives us her top tips on your regulatory obligations around supervision when many colleagues are still working remotely.
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Missed your PII renewal deadline - what next?
Martin MacHale of Paragon Insurance brokers gives us some tips on securing PII after the deadline of 1 October.
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FAQs - ways of working
Our Practice Advice team has put together some of their most frequently asked questions (and answers) on current compliance issues.
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Technology and regulatory compliance
Kerry Beynon, Partner at RDP Law, looks at the role of technology in relation to regulatory compliance in a fast-changing world.
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The economic crime levy - what to expect
The government announced in March their intention to introduce an economic crime levy on AML regulated businesses (including law firms) to contribute to the fight against economic crime. Rick Kent, our AML & Economic Crime Policy manager, takes a look at the plans.
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SRA draft business plan 2020/2021— explained
Rebecca Atkinson, Director of Risk at Howard Kennedy, looks at the Solicitors’ Regulation Authority’s (SRA) Business Plan for 2020/21. Although subject to change following consultation, the current draft indicates the direction of travel for the SRA and the impact on the profession in terms of regulation.
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8 ways to make use of your member benefits
Beaulah Ince, Risk and Compliance Assistant at the Law Society, provides top tips for getting the most from your membership.
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SDT case update: sexual misconduct
Amanda Croxon, risk and compliance solicitor at Howard Kennedy, asks if the SDT is making the right decisions in relation to allegations of sexual misconduct.
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Trust vs control – how law firms might work in the future
Deborah Witkiss examines how case management systems can help practices to manage a safe return to the workplace.