All Risk and Compliance articles – Page 4
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FeatureAre you serious?
Following the recent ruling in the Dentons case, Nigel West asks if the SRA will start to prosecute firms as well as individuals
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VideosMember Talk: 2025 Financial Benchmarking Survey (On-demand – audio only)
This audio-only session explores the key findings from the 2025 Financial Benchmarking Survey, picking out the main points and highlighting what they may mean for your firm
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FeatureSpring renewal – key findings
Arjun Rohilla and Dan Blundell of Paragon provide an overview of what to expect when renewing professional indemnity insurance this year
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FeatureThe regulatory pitfalls in post-completion
Priscilla Sinder outlines how post-completion processes in property transactions can help compliance officers meet their regulatory obligations and avoid costly mistakes
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FeatureRansomware – new government proposals
The government has announced new regulations designed to limit the rise in ransomware attacks. Lindsay Hill, CEO of Law Society partner Mitigo provides an overview of the plans
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FeatureQ&As – shortfalls on client account
The second edition of Risk and Compliance Questions and Answers has been updated to incorporate the latest regulatory information and guidance from government, the legal regulators and the Law Society. The authors, Rebecca Atkinson and Tracey Calvert, answer a common question relating to client accounts.
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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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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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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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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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FeatureOwning up to mistakes
Paul Bennett, Jonathon Bray and Alexis Hearnden discuss the importance of owning up to mistakes
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FeatureOn the money
Sarah Charlton comments on what the current SRA consultation on consumer protection may mean for solicitors handling client money
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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