All Risk and Compliance articles – Page 19
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FeatureWhat's on the regulatory horizon for 2018?
Helen Carr reflects on the past 12 months and looks ahead at what is coming up in the next year.
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FeatureAML and Financial Crime Conference 2017 - a summary
A summary of the this year’s AML and Financial Crime conference.
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EventMLRO regional networking groups (various dates in 2018)
Our nationwide seminars provide information and networking forums for MLROs, their deputies and other senior compliance staff.
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EventRisk and Compliance annual conference 2018: Locking down best practice in compliance
This conference will examine current issues that are affecting firms and legal departments, and features a mix of plenary sessions and a choice of workshops that will help you achieve best practice in compliance.
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VideosContinuing compliance changes: Keep calm and carry on
Pearl Moses looks at what you can do to get to grips with all the recent and forthcoming regulatory changes.
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FeatureEthical exits - what to do when you lose key staff
Tracey Calvert looks at how to meet regulatory obligations when a fee earner leaves a legal business.
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FeaturePrice and service transparency - how will it affect you?
In late September, the SRA opened its three month consultation on improving the availability of information for consumers. Michael Lonergan, policy adviser, gives an overview of the consultation and encourages members to share their views on it.
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Risk and Compliance Autumn Conference 2017
Janet Noble, Risk and Compliance Product Manager, reports on our recent conference.
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FeatureThe SRA Handbook - a new and slimmer look
Pearl Moses gives us a summary of the main changes proposed by the SRA in the new, slimmed down version of the SRA Handbook.
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FeatureAML Regulations 2017 - are they embedded in your firm?
Alison Matthews highlights the key changes you need to make to ensure you’re compliant.
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FeatureQ&A with Bahare Heywood
Bahare Heywood answers our questions about the challenges of risk at a large international firm.
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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.