All Risk and Compliance articles – Page 3
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EventWebinar: 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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FeatureDiversity 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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EventWhat 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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FeatureThe 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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FeaturePenalty 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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FeatureGetting 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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FeatureEconomic 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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FeatureEvidence 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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FeatureCareer ahead
Careers in risk and compliance are changing. Rebecca Atkinson and Daniel Chatfield outline the key trends ahead
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VideosSRA Transparency Rules and the advantages of being open about pricing (OnDemand)
Watch the recording On demand
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Feature9 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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FeatureDisciplinary 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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FeatureOn 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
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FeatureCan cyber risks impact on your PII premium?
Lindsay Hill, Mitigo chief executive officer, answers some key questions about the impact of cyber risks on professional indemnity insurance
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FeatureThe challenge of challenging behaviour
Rebecca Atkinson explores the SRA’s new fair treatment rule
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FeatureStandard bearers
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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FeatureA fair hearing?
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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FeatureAI risk landscape
Jessica Clay looks at the regulatory landscape developing for the use of artificial intelligence in England and Wales and around the world
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FeatureBanking on it
Jonathon Bray considers why a solicitor’s client account cannot be used as a ‘banking facility’ – and how to stay safe