All Risk and Compliance articles – Page 9
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FeatureYour regulatory questions answered
Our Practice Advice Service answers some commonly asked questions on compliance matters.
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FeatureDubious investment schemes: too good to be true?
Rina Amin, risk and compliance solicitor at Howard Kennedy, shares tips on how to spot a dubious investment scheme.
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FeatureSolicitor conduct after Beckwith
Amanda Croxon, risk and compliance solicitor at Howard Kennedy, considers the implications of the Beckwith appeal for the conduct of staff in and out of the workplace.
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FeatureNegative interest rates?
Andy Poole, Legal Sector Partner at Armstrong Watson LLP, considers the implications of negative interest rates for law firms.
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FeatureLSAG AML guidance - what you need to know
Rick Kent, anti-money laundering policy manager, looks at the key changes introduced by the revised anti-money laundering guidance for the legal sector.
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FeatureWhat now for RELs?
Jonathan Bray considers the future for registered European lawyers post-Brexit.
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FeatureA private function?
Iain Miller considers issues of privacy and integrity raised by the recent Beckwith decision on solicitor conduct in the High Court
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FeatureCases update
Nigel West looks back at the significant cases in the regulatory sphere in 2020
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FeatureData analysis
Robert Bond looks at data protection and information security challenges following on from our departure from the European Union
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FeatureRegulation agenda
Rebecca Atkinson gives us a summary of what the SRA will focus on in the coming year
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FeatureBy all accounts
Alexis Hearnden outlines what’s in the latest SRA guidance on the Accounts Rules.
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Feature2021 supervision
Dorothea Bannerman-Bruce looks at how firms can supervise while offering hybrid working
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FeatureRisk registers - a useful reminder
Lexcel-accredited firms will be familiar with the concept of an overarching risk register but others might well be less clear about how they work. Fiona du Feu reviews the basics.
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FeatureUnexplained wealth orders - where are we now?
Rebecca Atkinson looks at some recent cases where the UWOs have been used with a mixed degree of success.
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FeaturePrice and service transparency - revisited
In May 2020 the SRA commissioned an evaluation of their Transparency Rules. Janet Noble looks at how the findings can benefit firms.
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FeatureData protection - 8 things to do before the transition period ends
With the UK leaving the EU and the end of the transition period looming, Anna Drozd and Emilio Miranda-Graham from our policy teams outline how to get ready for data protection changes in 2021.
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FeatureComplaints - the business case for clarity
Good complaints handling is about communication and clarity. Fiona du Feu, Director of My Compliance Colleague, takes a look at how firms can improve.
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FeatureSix ways to ensure effective virtual supervision
Pearl Moses gives us her top tips on your regulatory obligations around supervision when many colleagues are still working remotely.
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FeatureSmall wonder
Peter Scott examines the financial issues small firms face in the long tail of the pandemic
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FeatureQualifying questions
Melissa Hardee provides an update on the introduction of the Solicitors Qualifying Examination (SQE)