All Risk and Compliance articles – Page 3
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FeatureOwning up to mistakes
Paul Bennett, Jonathon Bray and Alexis Hearnden discuss the importance of owning up to mistakes
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FeatureProcedural matters
Many firms are still struggling to have the correct anti-money laundering policies, controls and procedures in place. Alison Matthews summarises the key requirements
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FeatureProceed with caution
Nigel West considers the implications of the Uyghur case for the UK’s framework for investigating money laundering and recovering the proceeds of crime
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FeatureRaising the bar
Julie Norris outlines the authorisation of barristers employed in law firms and considers some of the compliance pitfalls that can arise
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FeatureOn the radar – 10 things
Andrea Cohen previews what’s on the regulatory horizon and sets out 10 things that should be on your risk radar in the coming year
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VideosSRA Accounts Rules – the essential
Learn key SRA Accounts Rules, avoid common errors, and ensure your firm has the right systems to manage client money and stay compliant.
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FeatureMy compliance career
Charlotte Murray is a senior risk lawyer at Freeths. She shares her journey into law and how she forged a career in risk and compliance
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FeatureAn element of suspicion?
Understanding the anti-money laundering definition of ‘suspicion’ is not as straightforward as it may appear. Amy Bell looks at the detail
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FeatureWhat the change in PEP regulations means for you
Richard Simms, founding director of anti-money laundering online platform AMLCC, explores the recent change in the regulation of domestic politically exposed persons
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VideosMember Talk series: Automation, transformation and digitisation of AML processes (audio-only)
Listen to the key highlights from the Leadership and Management Section, Risk and Compliance Section and Property Section seminar that was held in October 2024.
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FeatureChallenges in sanctions compliance
Katarina Pranjic of Lexis Nexis Risk Solutions looks at the challenges of managing sanctions risks, and provides some top tips for keeping on top of the changes
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FeatureSLAPP down
Rebecca Atkinson outlines what SLAPPs are and looks at why their use by firms is on the SRA’s radar
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FeatureCall of duty
Paul Bennett discusses new obligations around preventing sexual harassment in the workplace
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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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VideosSeminar: Automation, transformation and digitisation of AML processes (On Demand)
Learn how law firms can automate AML processes using tech, save resources, and share best practices in this on-demand seminar for legal leaders.
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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