All Risk and Compliance articles
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FeatureResidual balances – a silent danger?
Robert Blech considers residual balances and outlines the dangers of not addressing the issue in law firms
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VideosKey highlights from ‘How to prepare for an SRA visit’ (On-demand - audio only)
Take a listen to the key highlights from the Leadership and Management Section and Risk and Compliance Section roundtable that was held in June 2024.
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FeatureInvisible processing of data
Tony Imossi of the Association of British Investigators (ABI) explores the practice of processing personal data without an individual’s knowledge, and outlines the risks it poses to solicitors
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FeatureFor the record
Continuing competence is essential to providinghigh-quality legal services and maintaining public trust in the profession. Fiona Anthony shares the steps you can take to ensure you are satisfying the SRA’s requirements
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FeatureServe and protect
Following the recent cyber attacks at CTS, Law Society partner Mitigo asks how to protect your firm’s data when using a managed service provider
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FeaturePeriod of renewal
Piers Winton considers some of the current risk trends that fall outside of the usual professional indemnity insurance renewal factors
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FeatureValue judgement
Susanna Heley considers the increasingly broad range of ethical obligations applying to individuals and firms
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FeatureRules of engagement
Frank Maher looks at the regulatory obligations around limiting liability to clients in engagement letters
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FeaturePaying the cost
Nigel West looks at the question of whether the SRA should pay for a solicitor’s costs in unsuccessful disciplinary proceedings
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FeatureChallenging behaviour
Zoë Allen-Robinson looks at the regulator’s requirement for managers in law firms to challenge unfair behaviour
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FeatureOn account
Karen Edwards outlines the benefits and the risks of firms taking credit card payments for client accounts
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VideosThe most pressing risk and compliance questions in house lawyers are asking (On Demand)
This event took place 9 July 2024
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FeatureAre DUIs a regulatory matter?
In recent actions by the Solicitors Regulation Authority (SRA), drink-driving offences have become significantly more costly for solicitors, serving as a stark reminder of the regulator’s expected standards around personal conduct
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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
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FeatureHM Treasury AML supervision report
HM Treasury has published its 2022/23 report on anti-money laundering and counter-terrorist financing (AML/CFT) supervision. Rick Kent, anti-money laundering policy manager at the Law Society, looks at the key changes
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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