All Risk and Compliance articles
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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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FeatureMazur’s message: 10 considerations when conducting litigation
Matthew Edwards outlines the key takeaways from the recent decision in Mazur & Ors v Charles Russell Speechlys LLP
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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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EventSupervision in an AI driven world (12 November 2025, Online)
Book your place now Free to attend for Leadership and Management Section and Risk and Compliance Section members
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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
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VideosMember Talk: Automation, transformation and digitisation of AML processes – strengthening weak points in AML processes (audio-only)
This recording forms part of the key highlights from the Leadership and Management Section, Risk and Compliance Section and Property Section seminar that was held in October 2024
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VideosMember talk: Automation, transformation and digitisation of AML processes – risks of automating systems (audio-only)
This recording forms part of the key highlights from the Leadership and Management Section, Risk and Compliance Section and Property Section seminar that was held in October 2024