All Risk and Compliance articles – Page 4

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    Developments in AML

    2023-05-11T09:16:00Z

    With the recent SRA announcement that law firms should expect an increase in AML burdens from the UK government, Julie Norris and Charlotte Judd consider some key updates

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    Developments in AML

    2023-04-18T09:41:00Z

    With the SRA announcement that firms in the legal sector should expect an increase to the onslaught of AML burdens from the UK government, Julie Norris and Charlotte Judd consider some key AML updates for legal practitioners and law firms

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    SLAPP down: the SRA’s evolving position

    2023-04-04T08:04:00Z

    Rina Patel considers the SRA’s evolving position on SLAPPS

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    Feature

    Time’s up - workplace culture

    2023-02-23T15:10:00Z

    Jonathon Bray looks at proposals that law firms with toxic workplace cultures may face disciplinary action in the Solicitors Disciplinary Tribunal

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    Legal Ombudsman Scheme Rules – the changes

    2023-02-01T11:09:00Z

    New changes to the Legal Ombudsman (LeO) Scheme Rules – the most significant since the organisation opened – come into effect on 1 April 2023. Paul Wightman outlines what to expect

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    Support systems

    2023-01-31T14:26:00Z

    Tracey Calvert and Paul Bennett consider the obligations of firms with regard to the conduct and behaviour of their support staff

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    Risk outlook

    2023-01-31T14:26:00Z

    Michelle Garlick outlines what’s on the regulatory horizon and sets out what law firms and their employees can expect in the coming year

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    Clarity on enforcement?

    2023-01-31T14:26:00Z

    For the past five years sexual harassment has been a continuing theme in SRA enforcement work. Iain Miller, Jessica Clay and Lucinda Soon consider the most recent guidance

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    Feature

    Cyber resolutions

    2023-01-31T14:25:00Z

    The use of technology to deliver legal services has increased over recent years and with that comes the need for better cybersecurity. Heather Anson outlines how a cyber resolution for the New Year can help

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    Economic crime scene

    2023-01-31T14:24:00Z

    Jennifer Harper provides an update on the Economic Crime and Corporate Transparency Bill, part of the government’s strategy to tackle economic crime and improve transparency over corporate entities

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    All clear

    2023-01-31T14:24:00Z

    In the face of upcoming website checks by the regulator, Andrew Donovan looks at what to do to ensure you are complying with the requirements of the SRA Transparency Rules

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    Improving the client experience

    2023-01-13T14:18:00Z Partner content

    Mike Connelly looks at why a positive client experience is a key part of the strategy of a successful law firm, and outlines some top tips on how firms can enhance the way they interact with clients.

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    In defence of email—10 top tips

    2022-12-07T09:37:00Z

    Mitigo highlights six things to consider in light of the SRA’s thematic review on cyber security

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    Feature

    Audit trail–preparing for an AML visit

    2022-12-06T11:35:00Z

    Carly Fallon provides some top tips on how to prepare for an anti-money laundering audit by the SRA

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    Feature

    Making a list…be cyber safe this Christmas

    2022-12-06T08:50:00Z

    Heather Anson, director of Anson Evaluate and co-author of the new edition of the Cyber Security Toolkit, provides some seasonal tips on avoiding cyber breaches during the festive period

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    Underground banking

    2022-10-17T09:16:00Z

    Laurence Howland does a deep dive into Chinese underground banking, outlining how it works and how the risk impact on law firms in the UK can be mitigated

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    A question of qualification

    2022-10-17T08:04:00Z

    A year on from the introduction of the Solicitors Qualifying Examination, Melissa Hardee considers its impact and successes so far

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    Feature

    AML update

    2022-10-17T08:04:00Z

    Julie Norris outlines key recent developments relating to the regulation of money laundering in the legal sector and the implications for legal practitioners and law firms

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    Misconduct matters

    2022-10-14T10:55:00Z

    As the SRA takes an increasingly tough line on sexual misconduct in the profession, Andrew Katzen sets out what law firms should know about the regulator’s investigatory process

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    Cost of competition

    2022-10-14T10:44:00Z

    Nigel West considers the recent case of Competition and Markets Authority v Flynn Pharma & Others and the impact it may have on costs in disciplinary matters