All Risk and Compliance articles – Page 6
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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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FeatureSourcing it
The Solicitors Regulation Authority is looking more closely at anti-money laundering compliance in law firms. Harriet Holmes considers what you can do to prepare for a possible inspection
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FeatureHow to be an effective COLP
As compliance frameworks become more complex, and regulators get new fining powers, the compliance officer for legal practice (COLP) is an increasingly pivotal role. Jonathon Bray offers his top tips on how to be effective in this position
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VideosWebinar: Practical steps towards cost effective information security compliance (online, 30 April 2024)
Watch this event recording discussing the law around information security and how you can safeguard your organisation to help keep you compliant and your client information safe.
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FeatureDiversity and inclusion – the benefits to your firm
Pearl Moses reflects on her experience with diversity and inclusion in the legal sector and although she says the profession is changing, bias remains an issue
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VideosWhat the year ahead holds for AML and KYC (On Demand)
Listen to this webinar discussing what the year holds for AML and KYC