All Risk and Compliance articles – Page 2
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FeatureAML update
Baljeet Harley outlines the changes to the anti-money laundering regulations and provides an overview of what firms should do to comply with the amendments
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FeatureCompetence checks
Melissa Hardee provides an update on the SRA’s continuing competence requirements
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FeatureBehind enemy lines
In the first of two articles, Matthew Edwards considers common scenarios where an opponent’s error can raise conflicting compliance obligations and provides guidance on how regulated individuals can deal with them
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EventInnovation versus compliance: managing AI risk in legal practice (Fri 6 November 2026, Online)
Book your place now FREE for Leadership and Management and Risk and Compliance Section members Registration for this event will close at 11.59pm on 5 November 2026.
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FeatureTax adviser registration: does it apply to your firm?
Kayleigh Smale explains how the UK government’s tax adviser registration could affect your firm
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FeatureWhy law firms should invest in a cyber incident response simulation
Cyber resilience requires firms to have a proven and workable incident response plan that gives them the best chance to survive and recover from a serious cyber breach. This article is aimed at senior leadership teams and those involved in managing risk and compliance rather than IT providers for firms
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VideosWebinar: SRA Accounts Rules: key requirements for managing client money
If your law firm receives or deals with money belonging to clients, it’s essential that you follow the SRA Accounts Rules. Join this online event to stay up to date with the latest developments and learn how to avoid common mistakes made by law firms.
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FeatureComplaints in the age of AI: a survival guide
Sophie Cisler outlines how to deal with AI-generated complaints
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VideosWebinar: Staying compliant - Regulatory updates for property solicitors
Property practitioners are operating in a high-value, high-risk and heavily scrutinised regulatory environment. This webinar covers essential updates that will help you stay informed, reduce risk and embed best practice.
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FeatureCause for complaint
Complaints against solicitors are apparently on the rise. Paul Wightman examines if and why this is the case and outlines how good practice can help
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FeatureDare to defy
Is it ever right to defy authority and refuse to play by the rules? Andy Donovan explores the case for ethical defiance and principled dissent
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FeatureEthical matters
With regulatory penalties becoming more frequent, Nigel West considers two high-profile disciplinary cases involving property practitioners
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FeatureIntelligent life?
As developments in artificial intelligence gather pace, Jessica Clay and Sam Binymin outline the most important changes and examine what they mean for law firms and lawyers navigating the risk and compliance landscape
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FeaturePortion of interest
Eloise Butterworth considers controversial government plans to divert interest from law firms’ client accounts to the Ministry of Justice budget
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FeaturePlaying by the rules
With the regulators reviewing compliance roles and the continuing focus on client money, Luke Dickinson outlines six things COFAs should be doing to stay on top of their obligations
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FeatureRole reversal?
Juliet Oliver outlines the regulator’s proposals to change the role of compliance officers to strengthen accountability in law firms
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FeatureWord of warning
Paul Bennett considers the issues the SRA’s new warning notice raises in relation to how firms operate in high-volume consumer claims
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EventFinancial Benchmarking Survey 2026 results: Hybrid seminar (London, Weds 15 April 2026)
The Law Society’s Financial Benchmarking Survey is widely regarded as one of the leading annual health check reports for smaller and mid-sized law firms.
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FeatureMazur – what the Court of Appeal decision means for supervision
Paul Bennett looks at the implications for supervision following the recent Mazur appeal
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FeatureFAQ: Do I need to treat a client as a politically exposed person?
Our Practice Advice Service answers a commonly asked question put to compliance officers for legal practice