All Risk and Compliance articles – Page 10
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FeatureLegal Ombudsman Scheme Rules – the changes
New changes to the Legal Ombudsman (LeO) Scheme Rules – the most significant since the organisation opened – come into effect on 1 April 2023. Paul Wightman outlines what to expect
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FeatureClarity on enforcement?
For the past five years sexual harassment has been a continuing theme in SRA enforcement work. Iain Miller, Jessica Clay and Lucinda Soon consider the most recent guidance
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FeatureRisk outlook
Michelle Garlick outlines what’s on the regulatory horizon and sets out what law firms and their employees can expect in the coming year
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FeatureSupport systems
Tracey Calvert and Paul Bennett consider the obligations of firms with regard to the conduct and behaviour of their support staff
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FeatureCyber resolutions
The use of technology to deliver legal services has increased over recent years and with that comes the need for better cybersecurity. Heather Anson outlines how a cyber resolution for the New Year can help
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FeatureEconomic crime scene
Jennifer Harper provides an update on the Economic Crime and Corporate Transparency Bill, part of the government’s strategy to tackle economic crime and improve transparency over corporate entities
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FeatureImproving the client experience
Mike Connelly looks at why a positive client experience is a key part of the strategy of a successful law firm, and outlines some top tips on how firms can enhance the way they interact with clients.
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FeatureAudit trail–preparing for an AML visit
Carly Fallon provides some top tips on how to prepare for an anti-money laundering audit by the SRA
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FeatureUnderground banking
Laurence Howland does a deep dive into Chinese underground banking, outlining how it works and how the risk impact on law firms in the UK can be mitigated
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FeatureAML update
Julie Norris outlines key recent developments relating to the regulation of money laundering in the legal sector and the implications for legal practitioners and law firms
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FeatureA question of qualification
A year on from the introduction of the Solicitors Qualifying Examination, Melissa Hardee considers its impact and successes so far
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FeatureMisconduct matters
As the SRA takes an increasingly tough line on sexual misconduct in the profession, Andrew Katzen sets out what law firms should know about the regulator’s investigatory process
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FeatureCost of competition
Nigel West considers the recent case of Competition and Markets Authority v Flynn Pharma & Others and the impact it may have on costs in disciplinary matters
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FeatureFAQs: Client due diligence
Our Practice Advice Service answers some commonly asked questions by Money Laundering Reporting Officers (MLROs)
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FeatureBook review — The Solicitors Disciplinary Tribunal (2nd)
Robert Forman, Senior Consultant at Murdochs Professional Discipline Solicitors, reviews the latest edition of The Solicitors Disciplinary Tribunal: Law & Practice (2nd) by Nigel West and Susanna Heley
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FeatureFAQs: Reporting AML breaches
Our Practice Advice Service answers some commonly asked questions by Money Laundering Reporting Officers (MLROs)
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FeatureCase update - costs
Nigel West considers a recent case in the Competition and Markets Authority that may have an impact on costs in disciplinary matters.
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FeatureBook review—Client Care in Conveyancing
Rebecca Atkinson, Director of Risk at Howard Kennedy LLP, reviews the latest edition of Client Care in Conveyancing by Priscilla Sinder.
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FeatureHeld to account
Jayne Willetts considers how the introduction of flexibility in the regulator’s approach to the SRA Accounts Rules is working in terms of breaches