All Risk and Compliance articles – Page 5
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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
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FeatureRisky business
The number of anti-money laundering audits conducted by the Solicitors Regulation Authority are increasing, with larger fines imposed for breaches. Alison Matthews outlines how having a robust firm-wide risk assessment can mitigate your risk
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FeatureDomino effect
Jayne Willetts and Bronwen Still consider the proposals for the Solicitors Regulation Authority to regulate legal executives
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FeatureNew realities in risk
In this abridged version of his keynote speech at the annual Risk and Compliance Conference on 21 March 2024, Iain Miller examines the changing regulatory landscape
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