All Risk and Compliance articles – Page 10
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FeatureRegulation agenda
Rebecca Atkinson gives us a summary of what the SRA will focus on in the coming year
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FeatureBy all accounts
Alexis Hearnden outlines what’s in the latest SRA guidance on the Accounts Rules.
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Feature2021 supervision
Dorothea Bannerman-Bruce looks at how firms can supervise while offering hybrid working
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FeatureRisk registers - a useful reminder
Lexcel-accredited firms will be familiar with the concept of an overarching risk register but others might well be less clear about how they work. Fiona du Feu reviews the basics.
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FeatureUnexplained wealth orders - where are we now?
Rebecca Atkinson looks at some recent cases where the UWOs have been used with a mixed degree of success.
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FeaturePrice and service transparency - revisited
In May 2020 the SRA commissioned an evaluation of their Transparency Rules. Janet Noble looks at how the findings can benefit firms.
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FeatureData protection - 8 things to do before the transition period ends
With the UK leaving the EU and the end of the transition period looming, Anna Drozd and Emilio Miranda-Graham from our policy teams outline how to get ready for data protection changes in 2021.
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FeatureComplaints - the business case for clarity
Good complaints handling is about communication and clarity. Fiona du Feu, Director of My Compliance Colleague, takes a look at how firms can improve.
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FeatureSix ways to ensure effective virtual supervision
Pearl Moses gives us her top tips on your regulatory obligations around supervision when many colleagues are still working remotely.
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FeatureSmall wonder
Peter Scott examines the financial issues small firms face in the long tail of the pandemic
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FeatureQualifying questions
Melissa Hardee provides an update on the introduction of the Solicitors Qualifying Examination (SQE)
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FeatureMaking a move
Duncan Wood talks to lawyers about how they transitioned from fee-earners to risk professionals with successful careers in legal compliance.
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FeatureTrust exercise
Adam Fellows looks at the key changes to the Trust Registration Service coming later this year
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FeatureCyber optics
Jonathan Freedman outlines how your firm can mitigate some of the new cyber threats
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OpinionCOFAs – can you make your own rules?
Jeremy Black looks at what the SRA Standards and Regulations mean in practice for the compliance officer for finance and administration (COFA) at law firms
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FeatureArrested development
Fiona du Feu and Andy Donovan look at the new obligation to supervise competency
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FeatureUnauthorised access
Tracey Calvert looks at the regulations on solicitors working in unregulated businesses
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FeatureMissed your PII renewal deadline - what next?
Martin MacHale of Paragon Insurance brokers gives us some tips on securing PII after the deadline of 1 October.
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FeatureFAQs - ways of working
Our Practice Advice team has put together some of their most frequently asked questions (and answers) on current compliance issues.
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