All Risk and Compliance articles – Page 6
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FeatureImproving the client experience
Mike Connelly looks at why a positive client experience is a key part of the strategy of a successful law firm, and outlines some top tips on how firms can enhance the way they interact with clients.
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Sponsored byIn defence of email—10 top tips
Mitigo highlights six things to consider in light of the SRA’s thematic review on cyber security
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FeatureAudit trail–preparing for an AML visit
Carly Fallon provides some top tips on how to prepare for an anti-money laundering audit by the SRA
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FeatureMaking a list…be cyber safe this Christmas
Heather Anson, director of Anson Evaluate and co-author of the new edition of the Cyber Security Toolkit, provides some seasonal tips on avoiding cyber breaches during the festive period
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FeatureUnderground banking
Laurence Howland does a deep dive into Chinese underground banking, outlining how it works and how the risk impact on law firms in the UK can be mitigated
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FeatureA question of qualification
A year on from the introduction of the Solicitors Qualifying Examination, Melissa Hardee considers its impact and successes so far
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FeatureAML update
Julie Norris outlines key recent developments relating to the regulation of money laundering in the legal sector and the implications for legal practitioners and law firms
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FeatureMisconduct matters
As the SRA takes an increasingly tough line on sexual misconduct in the profession, Andrew Katzen sets out what law firms should know about the regulator’s investigatory process
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FeatureCost of competition
Nigel West considers the recent case of Competition and Markets Authority v Flynn Pharma & Others and the impact it may have on costs in disciplinary matters
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FeatureFAQs: Client due diligence
Our Practice Advice Service answers some commonly asked questions by Money Laundering Reporting Officers (MLROs)
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FeatureFAQs: Reporting AML breaches
Our Practice Advice Service answers some commonly asked questions by Money Laundering Reporting Officers (MLROs)
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FeatureCase update - costs
Nigel West considers a recent case in the Competition and Markets Authority that may have an impact on costs in disciplinary matters.
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FeatureBook review—Client Care in Conveyancing
Rebecca Atkinson, Director of Risk at Howard Kennedy LLP, reviews the latest edition of Client Care in Conveyancing by Priscilla Sinder.
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FeatureHeld to account
Jayne Willetts considers how the introduction of flexibility in the regulator’s approach to the SRA Accounts Rules is working in terms of breaches
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FeatureA fine thing?
Robert Forman outlines the SRA’s plan to increase and extend the fines it can issue to regulated solicitors
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FeatureEconomic transparency
Rebecca Atkinson outlines what the new Economic Crime Act covers, how it impacts your firm and considers what’s next
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FeaturePerformance indicators
Peter Scott considers law firm performance measures in light of the SRA’s recent thematic review on workplace culture
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FeatureUnder sanction
With the announcement that the SRA will be scrutinising firms for sanctions compliance, Anita Clifford considers what firms should be doing to ensure they are meeting the requirements
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EventRisk update: key issues on the regulatory radar (OnDemand)
Watch this webinar to hear an overview of the key risk and compliance issues currently facing firms and get practical guidance on some of the challenges that will arise for compliance professionals