All Risk and Compliance articles – Page 2

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    Feature

    Into the breach

    2024-04-22T00:00:00Z

    Rebecca Atkinson considers the reporting obligations for regulated solicitors and outlines how to establish if a breach is serious enough to report to the Solicitors Regulation Authority

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    Feature

    How to be an effective COLP

    2024-03-12T13:22:00Z

    As compliance frameworks become more complex, and regulators get new fining powers, the compliance officer for legal practice (COLP) is an increasingly pivotal role. Jonathon Bray offers his top tips on how to be effective in this position

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    Feature

    Diversity and inclusion – the benefits to your firm

    2024-02-15T16:10:00Z

    Pearl Moses reflects on her experience with diversity and inclusion in the legal sector and although she says the profession is changing, bias remains an issue

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    Event

    What the year ahead holds for AML and KYC (OnDemand)

    Listen to this webinar discussing what the year holds for AML and KYC

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    Feature

    The powers that be

    2024-01-24T00:00:00Z

    Automatic fines and fixed penalties for non-compliance are about to become the norm. Paul Bennett outlines the regulator’s enforcement policy, and considers what it will mean in terms of risk management in the coming year

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    Feature

    Penalty points

    2024-01-24T00:00:00Z

    Anita Clifford discusses the continuing changes to the UK sanctions regime including what to look for and the practicalities of reporting a breach

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    Feature

    Getting it right

    2024-01-24T00:00:00Z

    The regulator is cracking down on anti-money laundering infringements and the fines are getting larger. Amy Bell provides her top tips for making sure your firm is compliant

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    Feature

    Economic crime update

    2024-01-24T00:00:00Z

    Andrea Cohen assesses how the Russian invasion of Ukraine has put the prevention and deterrence of economic crime top of the agenda among legal businesses

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    Feature

    Evidence base

    2024-01-24T00:00:00Z

    Demonstrating compliance, and evidencing it, is necessary in the current regulatory landscape. Peter Scott offers some practical ways to do it

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    Feature

    Career ahead

    2024-01-24T00:00:00Z

    Careers in risk and compliance are changing. Rebecca Atkinson and Daniel Chatfield outline the key trends ahead

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    Feature

    9 things for your risk radar in 2024

    2024-01-15T16:00:00Z

    Andrea Cohen outlines what’s on the regulatory horizon and sets out what should be on your risk radar in the coming year

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    Feature

    Disciplinary case update

    2023-12-18T09:54:00Z

    Nigel West considers two Solicitors Disciplinary Tribunal cases – one regarding a failure to act in the best interests of a client and another on fines for sexual harassment

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    Feature

    On the regulatory radar – 3 hot topics

    2023-12-08T09:59:00Z

    Tracey Calvert outlines what’s on the regulator’s radar for the coming year and sets out some action points on how to be proactive in planning for compliance challenges

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    Feature

    Can cyber risks impact on your PII premium?

    2023-12-06T00:00:00Z Partner content

    Lindsay Hill, Mitigo chief executive officer, answers some key questions about the impact of cyber risks on professional indemnity insurance

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    Feature

    The challenge of challenging behaviour

    2023-10-18T00:00:00Z

    Rebecca Atkinson explores the SRA’s new fair treatment rule

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    Feature

    Standard bearers

    2023-10-05T11:22:00Z

    The challenge for any profession is to ensure that its members not only meet the requisite standard to be admitted into the profession, but also that they maintain those standards. This is partly from self-interest – the pride of a profession of the standard which distinguishes it ...

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    Feature

    A fair hearing?

    2023-10-05T09:50:00Z

    Susanna Heley and Nigel West consider the SRA’s recent guidance on its approach to fines and decision-making in disciplinary cases, and outline some of the practical issues this raises

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    Feature

    AI risk landscape

    2023-10-05T09:27:00Z

    Jessica Clay looks at the regulatory landscape developing for the use of artificial intelligence in England and Wales and around the world