All Risk and Compliance articles – Page 5
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FeaturePaying the cost
Nigel West looks at the question of whether the SRA should pay for a solicitor’s costs in unsuccessful disciplinary proceedings
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FeatureRules of engagement
Frank Maher looks at the regulatory obligations around limiting liability to clients in engagement letters
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FeatureValue judgement
Susanna Heley considers the increasingly broad range of ethical obligations applying to individuals and firms
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FeaturePeriod of renewal
Piers Winton considers some of the current risk trends that fall outside of the usual professional indemnity insurance renewal factors
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FeatureServe and protect
Following the recent cyber attacks at CTS, Law Society partner Mitigo asks how to protect your firm’s data when using a managed service provider
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FeatureFor the record
Continuing competence is essential to providing high-quality legal services and maintaining public trust in the profession. Fiona Anthony shares the steps you can take to ensure you are satisfying the SRA’s requirements
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VideosThe most pressing risk and compliance questions in house lawyers are asking (On Demand)
Explore key risk and compliance issues in-house lawyers face, with insights, best practices, and guidance from the Law Society’s expert panel.
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FeatureOn account
Karen Edwards outlines the benefits and the risks of firms taking credit card payments for client accounts
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VideosMember Talk: Key highlights from ‘How to prepare for an SRA visit’ – who to notify (audio only)
Take a listen to the key highlights from the Leadership and Management Section and Risk and Compliance Section roundtable that was held in June 2024. All the highlights are between one and four minutes long, and the topics covered are based on the theme of how to prepare for an ...
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VideosMember talk: key highlights from ‘how to prepare for an SRA visit’- Q1 (audio only)
Take a listen to the key highlights from the Leadership and Management Section and Risk and Compliance Section roundtable that was held in June 2024. All the highlights are between one and four minutes long, and the topics covered are based on the theme of how to prepare for an ...
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VideosMember talk: key highlights from ‘how to prepare for an SRA visit’- Q5 (audio only)
Take a listen to the key highlights from the Leadership and Management Section and Risk and Compliance Section roundtable that was held in June 2024. All the highlights are between one and four minutes long, and the topics covered are based on the theme of how to prepare for an ...
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VideosMember talk: key highlights from ‘how to prepare for an SRA visit’- Q4 (audio only)
Take a listen to the key highlights from the Leadership and Management Section and Risk and Compliance Section roundtable that was held in June 2024. All the highlights are between one and four minutes long, and the topics covered are based on the theme of how to prepare for an ...
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VideosMember talk: key highlights from ‘how to prepare for an SRA visit’- Q3 (audio only)
Take a listen to the key highlights from the Leadership and Management Section and Risk and Compliance Section roundtable that was held in June 2024. All the highlights are between one and four minutes long, and the topics covered are based on the theme of how to prepare for an ...
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VideosMember talk: key highlights from ‘how to prepare for an SRA visit’- Q2 (audio only)
Take a listen to the key highlights from the Leadership and Management Section and Risk and Compliance Section roundtable that was held in June 2024. All the highlights are between one and four minutes long, and the topics covered are based on the theme of how to prepare for an ...
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VideosMember talk: key highlights from ‘how to prepare for an SRA visit’- Q1 (audio only)
Take a listen to the key highlights from the Leadership and Management Section and Risk and Compliance Section roundtable that was held in June 2024. All the highlights are between one and four minutes long, and the topics covered are based on the theme of how to prepare for an ...
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FeatureAre DUIs a regulatory matter?
In recent actions by the Solicitors Regulation Authority (SRA), drink-driving offences have become significantly more costly for solicitors, serving as a stark reminder of the regulator’s expected standards around personal conduct
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VideosEssential compliance around continuing competence (On Demand)
Learn how to stay compliant with SRA continuing competence rules, avoid penalties, and embed learning into your firm’s development strategy.
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FeatureHM Treasury AML supervision report
HM Treasury has published its 2022/23 report on anti-money laundering and counter-terrorist financing (AML/CFT) supervision. Rick Kent, anti-money laundering policy manager at the Law Society, looks at the key changes
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FeatureInto the breach
Rebecca Atkinson considers the reporting obligations for regulated solicitors and outlines how to establish if a breach is serious enough to report to the Solicitors Regulation Authority