All Risk and Compliance articles
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FeatureBack to the future
Susanna Heley outlines the latest requirements for submitting accountants’ reports for firms holding client money
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FeatureGetting on board
Eloise Butterworth outlines how to get your fee-earners and staff on board with the importance of training
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FeatureBrave new world
Alison Matthews provides an update on the ever-evolving anti-money laundering developments in the legal sector
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FeatureA matter of complaint
With complaints on the rise, first-tier complaints handling is receiving renewed attention from the regulators. Carolyn Beal outlines the key issues
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FeatureAre you conflicted?
Tracey Calvert revisits the ongoing issue of managing conflicts of interest
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FeatureReturn to enemy lines
In the second of two articles on how an opponent’s error can raise conflicting compliance obligations, Matthew Edwards looks at how regulated individuals can deal with them
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FeaturePlace of greater safety
Pearl Moses explains why it’s important that lawyers understand the role of culture and psychological safety in their law firms
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FeatureKeeping a record
Work pressures can lead to over-recording of time. Nigel West considers three cases that demonstrate how the practice is detected and the consequences for solicitors and firms
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FeatureRole restrictions
Changes to the SRA’s Authorisation of Firm Rules mean certain firms can no longer appoint individuals with significant executive decision-making powers as compliance officers. Jonathon Bray examines the effect of the reforms and outlines what firms should do next
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FeatureFirst-tier complaints: key changes and tips for managing them
With complaints on the rise and the SRA proposing changes, Baljeet Harley offers some top tips for firms to manage complaints
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FeaturePII: what the current market means for law firms
Piers Winton examines the state of the professional indemnity insurance market ahead of the October renewal season
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FeatureWhat the new government means for compliance, ESG and corporate risk
Jonathan Armstrong explores how the change in prime minister is likely to impact compliance, ESG and corporate risk
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FeatureSDT cases – acting dishonestly
Two solicitors have been struck off after the Solicitors Disciplinary Tribunal found they acted dishonestly in separate property-related matters. Nigel West investigates
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FeatureA matter of trust – forging relationships through people management
Paul Bennett considers the importance of establishing strong and trusting relationships through people management
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FeatureWeight of responsibility
In light of the SRA’s recent thematic review of compliance officers, Liz Bond and Jonathon Bray consider how firms can support their compliance officers to meet regulatory requirements
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FeatureDirection of travel
Recent law firm failures, the rising cost of regulation, higher payments to the compensation fund and client account reform mean the SRA is seeking a reset. Cary Whitmarsh considers what the direction of travel might look like for the regulator
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FeatureAdvice for advisers
Tax advisers are now required to register with HMRC. Nick Paterno explains why the new registration rules affect most law firms, and what your firm needs to do to comply
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FeatureHandling complaints
Robert Bond outlines new requirements for handling complaints involving data protection
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FeatureFit for purpose?
David Pett asks if a principles-based SRA Code of Conduct reflects the increasingly investigatory approach of the regulator