All Risk and Compliance articles
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EventRoundtable: How to prepare for a Solicitors Regulation Authority (SRA) visit (Online, 26 June 2024)
This interactive online roundtable will give you the essential compliance information you need when it comes to ensuring you can deal with an SRA investigation or review.
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FeatureSourcing it
The Solicitors Regulation Authority is looking more closely at anti-money laundering compliance in law firms. Harriet Holmes considers what you can do to prepare for a possible inspection
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FeatureNew realities in risk
In this abridged version of his keynote speech at the annual Risk and Compliance Conference on 21 March 2024, Iain Miller examines the changing regulatory landscape
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FeatureDomino effect
Jayne Willetts and Bronwen Still consider the proposals for the Solicitors Regulation Authority to regulate legal executives
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FeatureRisky business
The number of anti-money laundering audits conducted by the Solicitors Regulation Authority are increasing, with larger fines imposed for breaches. Alison Matthews outlines how having a robust firm-wide risk assessment can mitigate your risk
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FeatureInto the breach
Rebecca Atkinson considers the reporting obligations for regulated solicitors and outlines how to establish if a breach is serious enough to report to the Solicitors Regulation Authority
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EventEssential compliance around continuing competence (online, 16 May 2024)
Book now - Free for Risk and Compliance section members
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FeatureHow to be an effective COLP
As compliance frameworks become more complex, and regulators get new fining powers, the compliance officer for legal practice (COLP) is an increasingly pivotal role. Jonathon Bray offers his top tips on how to be effective in this position
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EventWebinar: Practical steps towards cost effective information security compliance (online, 30 April 2024)
FREE Online event from our Strategic partner, Shred-it.
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FeatureDiversity and inclusion – the benefits to your firm
Pearl Moses reflects on her experience with diversity and inclusion in the legal sector and although she says the profession is changing, bias remains an issue
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EventWhat the year ahead holds for AML and KYC (OnDemand)
Listen to this webinar discussing what the year holds for AML and KYC
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FeatureThe powers that be
Automatic fines and fixed penalties for non-compliance are about to become the norm. Paul Bennett outlines the regulator’s enforcement policy, and considers what it will mean in terms of risk management in the coming year
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FeaturePenalty points
Anita Clifford discusses the continuing changes to the UK sanctions regime including what to look for and the practicalities of reporting a breach
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FeatureGetting it right
The regulator is cracking down on anti-money laundering infringements and the fines are getting larger. Amy Bell provides her top tips for making sure your firm is compliant
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FeatureEconomic crime update
Andrea Cohen assesses how the Russian invasion of Ukraine has put the prevention and deterrence of economic crime top of the agenda among legal businesses
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FeatureEvidence base
Demonstrating compliance, and evidencing it, is necessary in the current regulatory landscape. Peter Scott offers some practical ways to do it
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FeatureCareer ahead
Careers in risk and compliance are changing. Rebecca Atkinson and Daniel Chatfield outline the key trends ahead
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Feature9 things for your risk radar in 2024
Andrea Cohen outlines what’s on the regulatory horizon and sets out what should be on your risk radar in the coming year
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FeatureDisciplinary case update
Nigel West considers two Solicitors Disciplinary Tribunal cases – one regarding a failure to act in the best interests of a client and another on fines for sexual harassment