All Risk and Compliance articles – Page 4
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FeatureFAQs: Reporting AML breaches
Our Practice Advice Service answers some commonly asked questions by Money Laundering Reporting Officers (MLROs)
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FeatureCase update - costs
Nigel West considers a recent case in the Competition and Markets Authority that may have an impact on costs in disciplinary matters.
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FeatureBook review—Client Care in Conveyancing
Rebecca Atkinson, Director of Risk at Howard Kennedy LLP, reviews the latest edition of Client Care in Conveyancing by Priscilla Sinder.
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FeatureHeld to account
Jayne Willetts considers how the introduction of flexibility in the regulator’s approach to the SRA Accounts Rules is working in terms of breaches
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FeatureA fine thing?
Robert Forman outlines the SRA’s plan to increase and extend the fines it can issue to regulated solicitors
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FeatureEconomic transparency
Rebecca Atkinson outlines what the new Economic Crime Act covers, how it impacts your firm and considers what’s next
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FeaturePerformance indicators
Peter Scott considers law firm performance measures in light of the SRA’s recent thematic review on workplace culture
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FeatureUnder sanction
With the announcement that the SRA will be scrutinising firms for sanctions compliance, Anita Clifford considers what firms should be doing to ensure they are meeting the requirements
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EventRisk update: key issues on the regulatory radar (OnDemand)
Watch this webinar to hear an overview of the key risk and compliance issues currently facing firms and get practical guidance on some of the challenges that will arise for compliance professionals
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EventConsidering the importance of EDI in your risk management framework (OnDemand)
Learn about the importance of integrating equality, diversity and inclusion (EDI) into your firm’s processes.
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EventReporting beneficial owners (OnDemand)
Watch our webinar to learn how to be compliant with the Economic Crime (Transparency and Enforcement) Act 2022.
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FeatureBook review—The UK General Data Protection Regulation
Robert Bond, senior counsel, Privacy Partnership Law reviews the latest edition of UK General Data Protection Regulation - A Guide to the Law by James Castro-Edwards.
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FeatureBook review—The Solicitors Handbook 2022
Jessica Clay reviews the latest edition of the Solicitors Handbook 2022 (Law Society, 2021, £100) by Gregory Treverton-Jones QC, Nigel West, Susanna Heley and Robert Forman
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EventSpring risk update: key issues on the regulatory radar (OnDemand)
Rebecca Atkinson will give an overview of the key issues facing firms and offer practical guidance on challenges for compliance professionals.
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FeatureClient states
Jon Bray and Rachael Eyre consider the importance of ongoing and effective client due diligence
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FeatureWorking culture
As workplace culture comes under increasing focus from the regulator, Iain Miller examines the relationship between culture and compliance
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FeatureQualifying experience
Melissa Hardee outlines the requirements for qualifying work experience (QWE) under the solicitors qualification scheme
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FeatureCryptoassets
Anita Clifford considers the money laundering risks associated with digital assets and the implications for the regulated legal sector
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FeatureTaking on apprentices
Denise Wright outlines the growth of legal apprenticeships in the legal sector and shares the experience in her firm
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FeatureCase update
Nigel West considers a recent case where electronic signatures came under the spotlight