All Risk and Compliance articles – Page 2
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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
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FeatureMy compliance career – nine things I've learnt
Eloise Butterworth is head of risk and compliance at HiveRisk. She shares her journey to a career in risk and compliance
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VideosWebinar: AML risk assessments: Ten things you should do
Law firms must carry out risk assessments as part of their anti-money laundering (AML) obligations. Join us to discover ten practical steps for carrying out effective AML risk assessments that will help you remain compliant.
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EventLaw Society Economic Crime Conference 2026 (Thu 17 Sept 2026, Hybrid)
Book your place now, Early Bird discount rates available for a limited period
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FeatureOwning up to mistakes – 10 considerations for your firm
Pearl Moses, director of compliance at Setfords, provides some top tips on how to deal with mistakes
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FeatureFAQ: Do we have to keep a record of complaints?
Our Practice Advice Service answers a commonly asked question put to compliance officers for legal practice
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FeatureNine risk and compliance stories you may have missed
SRA prosecution failures, a grab for interest on client accounts and a renewed focus on compliance roles – catch up on this month’s top news for risk and compliance professionals
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FeatureRisky business
Although the Solicitors Regulation Authority backed away from sweeping changes to client accounts, it is still considering alternatives to protecting client money. Sean Hankin and Liz Bond explain
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FeatureGetting to the source
Alison Matthews considers the SRA’s findings in its recently published thematic review on source of funds and wealth compliance
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FeatureOn the horizon
Rebecca Atkinson previews what’s on the regulatory horizon and sets out the headline issues that should be on your risk radar in the coming year
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FeatureSuspicious minds
As well as money laundering, the Proceeds of Crime Act 2002 guards against other forms of criminal conduct, and the penalties for breaches can be severe. Kayleigh Smale explains
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OpinionA question of oversight
Following the announcement that the supervision of anti-money laundering will move to the Financial Conduct Authority, Frank Maher asks if we should have concerns
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FeatureFive New Year resolutions to reduce cyber threats
Mitigo outlines five New Year’s resolutions your firm can make to mitigate the threat of cyber-attacks
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FeatureUsing section 43 orders in cases of sexual misconduct
The SRA has recently obtained section 43 orders against partners in international firms who are legally qualified in other jurisdictions. Nigel West looks at the detail
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FeatureAML: A tale of two regulators
Colette Best considers the announcement that the Financial Conduct Authority will take over responsibility for supervising lawyers’ anti-money laundering and counter-terrorism financing activities