All Risk and Compliance articles
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FeatureAML: A tale of two regulators
Colette Best considers the announcement that the Financial Conduct Authority will take over responsibility for supervising lawyers’ anti-money laundering and counter-terrorism financing activities
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FeatureFAQ: Should we have a deputy COLP?
Our Practice Advice Service answers a commonly asked question from compliance officers for legal practice (COLPs)
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VideosWebinar: Supervision in an AI driven world
While AI tools can automate tasks like legal research, document drafting, contract analysis, and e-discovery, they still require careful supervision. To ensure accuracy and ethical compliance, human oversight is still essential, watch the recording to provide clarity on what constitutes acceptable use of AI in legal practice.
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EventFinancial Benchmarking Survey 2026 results: Hybrid seminar (London, 5 March 2026)
Register now to secure your place at this launch event
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FeatureA question of competency
Melissa Hardee looks at the SRA’s annual competence report, exploring gaps in how some firms approach continuing competence, and why understanding and evidencing this is more important than ever
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FeatureA matter of record
It seems as though the regulators are handing out fines to firms on an almost daily basis. Paul Bennett considers the specific challenges this poses for larger firms
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FeatureBreaking the silence
A government amendment to the Employment Rights Bill aims to ban the use of NDAs where there are allegations of harassment or discrimination in settlement agreements. Juliet Oliver and Iain Miller look at the detai
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FeaturePreventative measures
Kevin Clancy and Patrick Kelly set out the scope of the prevention of fraud offence, and what the latest guidance offers by way of recommendations for reasonable procedures
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FeatureAudit trail
With anti-money laundering audits on the rise, Kayleigh Smale outlines how to prepare your firm for a visit from the SRA
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FeatureMisconduct matters
As the SRA remains focused on issues of sexual misconduct, Susanna Heley outlines how firms can ensure they are navigating this tricky area correctly
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FeatureOn thin ice
Failing to properly return client monies is in breach of the SRA Accounts Rules and can lead to regulatory action. Andrew Blatt explains the issues involved in residual balances – and what firms can do to clear them
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FeatureFAQs: Conflicts arising in initial client interviews
Our Practice Advice Service answers some commonly asked questions by Compliance Officers for Legal Practice (COLPs)
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FeatureProfessional indemnity insurance – market trends and risk insights
Simon Thomson, policy advisor at the Law Society, provides an update on the state of the professional indemnity insurance market, highlighting higher-risk practice areas and what it means for solicitors
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EventYour questions answered by expert COLPs and COFAs
This online session gave compliance leaders the opportunity to keep up to date on their evolving responsibilities in the face of increasing and shifting regulatory responsibilities.
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FeatureFraud matters
Pearl Moses outlines what the new requirement to prevent fraud means for solicitors and compliance professionals
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FeatureQ&As – qualifying through work experience
Authors of the updated Risk and Compliance Questions and Answers, Rebecca Atkinson and Tracey Calvert, answer a common question relating to becoming a solicitor through the qualifying work experience route
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VideosMember Talk series: Key highlights from ‘How to prepare for an SRA visit’ (audio only)
Take a listen to the key highlights from the Leadership and Management Section and Risk and Compliance Section roundtable that was held on 12 June 2024.
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FeatureFAQs: Dealing with sexual harassment in the workplace
Our Practice Advice Service answers some commonly asked questions by Compliance Officers for Legal Practice (COLPs)
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FeatureEight AML questions the SRA may ask
Richard Simms from AMLCC sets out the eight questions you should ask to establish if your firm is anti-money-laundering compliant before you get a visit from the Solicitors Regulation Authority