All Risk and Compliance articles – Page 2
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Feature
Sourcing it
The Solicitors Regulation Authority is looking more closely at anti-money laundering compliance in law firms. Harriet Holmes considers what you can do to prepare for a possible inspection
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Feature
New realities in risk
In this abridged version of his keynote speech at the annual Risk and Compliance Conference on 21 March 2024, Iain Miller examines the changing regulatory landscape
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Feature
Domino effect
Jayne Willetts and Bronwen Still consider the proposals for the Solicitors Regulation Authority to regulate legal executives
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Feature
Risky business
The number of anti-money laundering audits conducted by the Solicitors Regulation Authority are increasing, with larger fines imposed for breaches. Alison Matthews outlines how having a robust firm-wide risk assessment can mitigate your risk
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Feature
Into the breach
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
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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Event
Webinar: Practical steps towards cost effective information security compliance (online, 30 April 2024)
This event took place on Tuesday 30 April 2024
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Feature
Diversity and inclusion – the benefits to your firm
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
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
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
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
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
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
Careers in risk and compliance are changing. Rebecca Atkinson and Daniel Chatfield outline the key trends ahead
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Videos
SRA Transparency Rules and the advantages of being open about pricing (OnDemand)
Watch the recording On demand
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Feature
9 things for your risk radar in 2024
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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Disciplinary case update
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
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