All Risk and Compliance articles – Page 2
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FeatureBeast of burden
Is the regulatory burden for solicitors increasing or does it just seem that way? Duncan Finlyson considers recent developments
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FeatureUnder investigation
Susanna Heley outlines what to expect when the SRA decides to investigate or take disciplinary action
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FeatureHeld to account
Andy Donovan appeared on the BBC recently and was asked to explain to the viewing public how so much client money could go missing. He outlines his personal response here
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FeatureAct of intelligence
There has been a lot of media coverage about the benefits and dangers of artificial intelligence, and the speed of its development. Jessica Clay and Lauren Chalker consider the challenges of regulation and whether it is keeping pace
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FeatureA question of competence
The SRA recently published its second annual assessment of continuing competence for 2024. Melissa Hardee considers the findings
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EventSeminar: Automation, transformation and digitisation of AML processes (On Demand)
Recording available soon
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FeatureResidual balances – a silent danger?
Robert Blech considers residual balances and outlines the dangers of not addressing the issue in law firms
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FeatureInvisible processing of data
Tony Imossi of the Association of British Investigators (ABI) explores the practice of processing personal data without an individual’s knowledge, and outlines the risks it poses to solicitors
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FeatureFor the record
Continuing competence is essential to providing high-quality legal services and maintaining public trust in the profession. Fiona Anthony shares the steps you can take to ensure you are satisfying the SRA’s requirements
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FeatureServe and protect
Following the recent cyber attacks at CTS, Law Society partner Mitigo asks how to protect your firm’s data when using a managed service provider
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FeaturePeriod of renewal
Piers Winton considers some of the current risk trends that fall outside of the usual professional indemnity insurance renewal factors
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FeatureValue judgement
Susanna Heley considers the increasingly broad range of ethical obligations applying to individuals and firms
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FeatureRules of engagement
Frank Maher looks at the regulatory obligations around limiting liability to clients in engagement letters
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FeaturePaying the cost
Nigel West looks at the question of whether the SRA should pay for a solicitor’s costs in unsuccessful disciplinary proceedings
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FeatureChallenging behaviour
Zoë Allen-Robinson looks at the regulator’s requirement for managers in law firms to challenge unfair behaviour
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VideosThe most pressing risk and compliance questions in house lawyers are asking (On Demand)
This event took place 9 July 2024
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FeatureOn account
Karen Edwards outlines the benefits and the risks of firms taking credit card payments for client accounts
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VideosKey highlights from ‘How to prepare for an SRA visit’ (On-demand - audio only)
Take a listen to the key highlights from the Leadership and Management Section and Risk and Compliance Section roundtable that was held in June 2024.
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