All Risk and Compliance articles – Page 5
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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
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FeatureCase update
Nigel West considers the result of an intervention by the regulator into a solicitors practice.
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FeatureCause for complaint
The Legal Ombudsman has produced a guide to help solicitors improve their complaints handling processes. Here are their top tips.
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FeaturePrice transparency
Paul Bennett gives us a first-hand view of how his firm manages the price transparency requirements for solicitors and Alexis Hearnden outlines the requirements for the Bar
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FeatureLevelling up?
Gideon Habel and Emma Walker reflect on the disproportionate effects of regulation and share their vision of effective regulation and equitable outcomes for everyone
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FeatureMind the gap
Frank Maher considers how the proposed cyber exclusion and the closure of Solicitors Indemnity Fund may sit outside existing professional indemnity insurance cover
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FeatureDriving data change
Robert Bond considers the proposals set out in a consultation on changes to data protection in the UK post-Brexit
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FeatureWhen the levy breaks
The economic crime levy is set to be introduced for medium- and larger-sized firms later this year. Rebecca Atkinson answers some questions on the detail
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FeatureOn the agenda
Andrea Cohen outlines what’s on the regulatory horizon for the coming year and sets out what law firms and their employees can expect in 2022
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FeaturePI insurance—the introduction of personal guarantees
Todd Davison, Managing Director of Purbeck Insurance, explains why personal guarantees are becoming a feature of the professional indemnity insurance market and what the partners and leaders of small and medium sized law firms and LLPs can do to mitigate the risk.
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FeatureSRA business plan—what to expect in 2022
Marzena Lipman, Regulatory Policy Adviser, summarises the SRA business plan for next year and outlines the Law Society response.
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FeatureFAQs - compliance issues
Our Practice Advice team has put together some of their most frequently asked questions (and answers) on current compliance issues.
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FeatureAML – taking a risk-based approach
Katarina Pranjic considers how a risk-based approach to anti-money laundering works for fee-earners.
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FeatureSting in the tail
Peter Scott examines the financial issues facing firms in the long tail of the pandemic.