All Risk and Compliance articles – Page 19
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FeatureBeware offensive communications - here’s why
Mena Ruparel considers the SRA’s new warning notice and how your ethics should inform your communications.
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FeatureSafe Harbour advice - sample questions
One of the key benefits of membership is access to our ‘Safe Harbour’ initiative, providing written guidance to compliance officers on the materiality of a breach. Here we offer some examples of our written guidance to members.
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FeaturePI Insurance - will it be affected by Brexit?
Brian Balkin answers your questions on the possible effects of Brexit on PII.
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FeaturePrice transparency - The proposals for change
The Solicitors Regulation Authority (SRA) has outlined the steps it plans to take to improve transparency in the legal services market. Michael Lonergan, regulatory policy advisor, provides a refresher on what has happened to date and what the latest announcement may mean for the profession.
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FeatureBusiness continuity: Are you prepared?
Janet Noble looks at the importance of having business continuity plans in these uncertain times.
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FeatureSRA Handbook: The proposals for change
Marzena Lipman looks at a new, less prescriptive approach to regulation.
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FeatureNine things you need to know about the new AML regulations
Pearl Moses examines what to look out for in the new Money Laundering Regulations.
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FeatureKey issues in the Draft Money Laundering Regulations 2017
Sue Mawdsley examines what to look out for in the new draft regulations.
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FeatureA look at the Criminal Finances Act 2017
Janet Noble summarises the new Criminal Finances Act 2017.
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FeatureBrexit - FAQs
Janet Noble looks at some frequently asked questions from solicitors about the impact of Brexit on legal businesses.
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FeatureThe Zen guide to Brexit
Valeria Mancheva outlines some valuable lessons on dealing with uncertainty.
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FeatureBrexit - the impact on market access for legal services
Katharina Kirchberger looks at third country lawyers’ practice rights and conditions for setting up a third country law firm in the EU and EFTA countries.
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FeatureFile audits - a positive experience
Hillary Stephenson explains another way of looking at file audits.
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FeatureCobblers’ shoes - supplier due diligence by a law firm
Sarah Mumford and Gillian Watson look at the risks involved in supplier contracts.
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FeatureRisk and compliance conference 2017
Mandeep Nagra, risk and compliance advisor, reports on the recent conference.
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FeatureSpring clean your compliance checks
The clocks have gone forward, Easter is upon us and Pearl Moses looks at what you can do to spring clean your compliance policies and procedures.
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FeatureDo you need a password policy?
One of the weak links in providing an effective barrier against cyber attacks is the use of passwords. Janet Noble looks at some important steps your staff can take to minimise risk.
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VideosWebinar: AML Update - the new Money Laundering Regulations 2017 (OnDemand)
Jonathan Fisher, QC takes you through the new 2017 Money Laundering Regulations
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FeatureWaivers update: A rule is a rule – or is it?
The SRA’s consultation on the use of waivers to allow greater innovation otherwise blocked by the rules closes this week. Bronwen Still takes a look.
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FeatureRisk and Compliance - what to watch out for in 2017
The risks which law firms and their management and compliance teams have to address is constantly changing. Drawing on the experience of the past year for context, Frank Maher looks at a selection of these to consider some of the key areas of risk for the rest of 2017.