All Risk and Compliance articles – Page 5
-
-
FeatureDelaying tactics and clients - the risks
Jonathon Bray looks at some cases where inaction on client matters resulted in disciplinary action in the Solicitors Disciplinary Tribunal. He outlines how to avoid the risks.
-
FeatureEconomic Crime Act – an update
Laura Williamson provides some top tips on dealing with property transactions where overseas entities are involved
-
FeatureFair is fair: understanding the SRA ‘fair treatment’ rules
The Solicitors Regulation Authority (SRA) has introduced a new set of “fair treatment” rules into its Codes of Conduct. Ed Livingstone and Joe Cannon of Fox Williams outline what the changes mean and discuss the key steps all law firms should consider in response to the changes
-
FeatureThe Building Safety Act − the effect on PI insurance
Piers Winton, Director at Paragon International Insurance Brokers, summarises the Building Safety Act and outlines the risks it poses for law firms
-
FeatureA question of privilege
Adam Sher considers the issue of privilege and its impact on SRA investigations
-
-
FeatureIn confidence
Bronwen Still provides an overview of the regulatory requirements around confidentiality, and outlines some of the more common, and difficult, situations facing firms
-
FeatureA change in time
Changes to the Legal Ombudsman Scheme Rules came into effect on 1 April 2023. Paul Wightman outlines what to expect
-
FeatureDevelopments in AML
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
-
FeatureDevelopments in AML
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
-
FeatureSLAPP down: the SRA’s evolving position
Rina Patel considers the SRA’s evolving position on SLAPPS
-
FeatureTime’s up - workplace culture
Jonathon Bray looks at proposals that law firms with toxic workplace cultures may face disciplinary action in the Solicitors Disciplinary Tribunal
-
VideosWebinar: What’s on the regulatory radar for 2023? (On Demand)
Watch this webinar to get up to date with your compliance obligations and understand what new regulations are on the horizon
-
FeatureLegal Ombudsman Scheme Rules – the changes
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
-
FeatureSupport systems
Tracey Calvert and Paul Bennett consider the obligations of firms with regard to the conduct and behaviour of their support staff
-
FeatureRisk outlook
Michelle Garlick outlines what’s on the regulatory horizon and sets out what law firms and their employees can expect in the coming year
-
FeatureClarity on enforcement?
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
-
FeatureCyber resolutions
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
-
FeatureEconomic crime scene
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