Keep up to date with features, commentaries and current awareness updates from the industry’s leading practitioners.
Watch this online session to gain a greater understanding of what you need to do to become or remain compliant with SRA continuing competence rules
Our Practice Advice Service answers some commonly asked questions by Compliance Officers for Legal Practice (COLPs)
Richard Simms from AMLCC sets out the eight questions you should ask to establish if your firm is anti-money-laundering compliant before you get a visit from the Solicitors Regulation Authority
This recording forms part of the key highlights from the Leadership and Management Section, Risk and Compliance Section and Property Section seminar that was held in October 2024
This recording forms part of the key highlights from the Leadership and Management Section, Risk and Compliance Section and Property Section seminar that was held in October 2024
This recording forms part of the key highlights from the Leadership and Management Section, Risk and Compliance Section and Property Section seminar that was held in October 2024
This recording forms part of the key highlights from the Leadership and Management Section, Risk and Compliance Section and Property Section seminar that was held in October 2024
This recording forms part of the key highlights from the Leadership and Management Section, Risk and Compliance Section and Property Section seminar that was held in October 2024
Watch this online session to gain a greater understanding of what you need to do to become or remain compliant with SRA continuing competence rules
Third-party managed accounts have become a hot topic recently. Helen Carr outlines what they are and why they are on the radar of the regulators
Eloise Butterworth’s recent post on LinkedIn sparked conversation among risk professionals. Here she outlines the top 10 phrases that compliance officers dread hearing
With law firms and individuals increasingly engaging in international work, Matthew Edwards looks at regulatory requirements for cross-border activities
Iain Miller takes a deep dive into how ethics underpins the professional conduct of solicitors and its impact on the culture of law firms
The subject of solicitors acting ethically is back under the spotlight of legal regulators. Rebecca Atkinson asks whether ethics can be taught
Tim Kidd explores the Solicitors Regulation Authority’s recent consultation on its proposed changes to the handling of client money
With fines becoming more common and higher in value, Colette Best outlines the recent anti-money laundering changes that should be on your radar
Nigel West considers a judgment on the use of AI for legal research, which serves as a warning to all law firms to ensure they have procedures in place to control its usage
The cyber attack on the Legal Aid Agency (LAA) was a massive data breach and caused huge operational disruption. Mitigo outline the lessons that can be learned from the consequences of underinvestment in cyber risk management
Listen to this Member Talk to find out more about the power of employee ownership trusts
Authors of the recently updated Risk and Compliance Questions and Answers, Rebecca Atkinson and Tracey Calvert, answer a common question relating to challenging behaviour
Our Practice Advice Service answers some commonly asked questions by Compliance Officers for Legal Practice (COLPs)
Practical Law Practice Compliance & Management, with Natalie Cooksey and Karim Nassar of Travers Smith LLP
Paul Bennett examines the threat posed by sham litigation within the legal sector, and outlines what lawyers can do to protect themselves and their firms
Jonathon Bray looks at the rise of regulatory settlement agreements and how they’re used – together with some of the concerns the profession has about them
Pearl Moses outlines what the new requirement to prevent fraud means for solicitors and compliance professionals
Current global volatility means it’s more important than ever to understand how your firm is exposed to sanctions and how you can mitigate risk, writes Hugo Lodge
In light of the scrutiny lawyers are under in the wake of the Post Office scandal, Andy Donovan considers some safeguards that lawyers can put in place to meet their professional obligations
Matthew Edwards considers proposals for the Solicitors Regulation Authority to take over the regulation of legal executives
Following the recent ruling in the Dentons case, Nigel West asks if the SRA will start to prosecute firms as well as individuals
Arjun Rohilla and Dan Blundell of Paragon provide an overview of what to expect when renewing professional indemnity insurance this year
Priscilla Sinder outlines how post-completion processes in property transactions can help compliance officers meet their regulatory obligations and avoid costly mistakes
The government has announced new regulations designed to limit the rise in ransomware attacks. Lindsay Hill, CEO of Law Society partner Mitigo provides an overview of the plans
The second edition of Risk and Compliance Questions and Answers has been updated to incorporate the latest regulatory information and guidance from government, the legal regulators and the Law Society. The authors, Rebecca Atkinson and Tracey Calvert, answer a common question relating to client accounts.
Andrea Cohen previews what’s on the regulatory horizon and sets out 10 things that should be on your risk radar in the coming year
Paul Bennett, Jonathon Bray and Alexis Hearnden discuss the importance of owning up to mistakes
Nigel West considers the implications of the Uyghur case for the UK’s framework for investigating money laundering and recovering the proceeds of crime
Julie Norris outlines the authorisation of barristers employed in law firms and considers some of the compliance pitfalls that can arise
Sarah Charlton comments on what the current SRA consultation on consumer protection may mean for solicitors handling client money
Many firms are still struggling to have the correct anti-money laundering policies, controls and procedures in place. Alison Matthews summarises the key requirements
Learn key SRA Accounts Rules, avoid common errors, and ensure your firm has the right systems to manage client money and stay compliant.
Charlotte Murray is a senior risk lawyer at Freeths. She shares her journey into law and how she forged a career in risk and compliance
Understanding the anti-money laundering definition of ‘suspicion’ is not as straightforward as it may appear. Amy Bell looks at the detail
Richard Simms, founding director of anti-money laundering online platform AMLCC, explores the recent change in the regulation of domestic politically exposed persons
Listen to the key highlights from the Leadership and Management Section, Risk and Compliance Section and Property Section seminar that was held in October 2024.
Katarina Pranjic of Lexis Nexis Risk Solutions looks at the challenges of managing sanctions risks, and provides some top tips for keeping on top of the changes
Rebecca Atkinson outlines what SLAPPs are and looks at why their use by firms is on the SRA’s radar
Paul Bennett discusses new obligations around preventing sexual harassment in the workplace
Is the regulatory burden for solicitors increasing or does it just seem that way? Duncan Finlyson considers recent developments
Susanna Heley outlines what to expect when the SRA decides to investigate or take disciplinary action
Andy Donovan appeared on the BBC recently and was asked to explain to the viewing public how so much client money could go missing. He outlines his personal response here
There has been a lot of media coverage about the benefits and dangers of artificial intelligence, and the speed of its development. Jessica Clay and Lauren Chalker consider the challenges of regulation and whether it is keeping pace
The SRA recently published its second annual assessment of continuing competence for 2024. Melissa Hardee considers the findings
Learn how law firms can automate AML processes using tech, save resources, and share best practices in this on-demand seminar for legal leaders.
Robert Blech considers residual balances and outlines the dangers of not addressing the issue in law firms
Tony Imossi of the Association of British Investigators (ABI) explores the practice of processing personal data without an individual’s knowledge, and outlines the risks it poses to solicitors
Piers Winton considers some of the current risk trends that fall outside of the usual professional indemnity insurance renewal factors
Zoë Allen-Robinson looks at the regulator’s requirement for managers in law firms to challenge unfair behaviour
Frank Maher looks at the regulatory obligations around limiting liability to clients in engagement letters
Continuing competence is essential to providing high-quality legal services and maintaining public trust in the profession. Fiona Anthony shares the steps you can take to ensure you are satisfying the SRA’s requirements
Susanna Heley considers the increasingly broad range of ethical obligations applying to individuals and firms
Following the recent cyber attacks at CTS, Law Society partner Mitigo asks how to protect your firm’s data when using a managed service provider
Nigel West looks at the question of whether the SRA should pay for a solicitor’s costs in unsuccessful disciplinary proceedings
Explore key risk and compliance issues in-house lawyers face, with insights, best practices, and guidance from the Law Society’s expert panel.
Karen Edwards outlines the benefits and the risks of firms taking credit card payments for client accounts
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
Learn how to stay compliant with SRA continuing competence rules, avoid penalties, and embed learning into your firm’s development strategy.
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
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
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
Jayne Willetts and Bronwen Still consider the proposals for the Solicitors Regulation Authority to regulate legal executives
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
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
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
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.
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
Listen to this webinar discussing what the year holds for AML and KYC
Careers in risk and compliance are changing. Rebecca Atkinson and Daniel Chatfield outline the key trends ahead
Anita Clifford discusses the continuing changes to the UK sanctions regime including what to look for and the practicalities of reporting a breach
The regulator is cracking down on anti-money laundering infringements and the fines are getting larger. Amy Bell provides her top tips for making sure your firm is compliant
Automatic fines and fixed penalties for non-compliance are about to become the norm. Paul Bennett outlines the regulator’s enforcement policy, and considers what it will mean in terms of risk management in the coming year
Demonstrating compliance, and evidencing it, is necessary in the current regulatory landscape. Peter Scott offers some practical ways to do it
Andrea Cohen assesses how the Russian invasion of Ukraine has put the prevention and deterrence of economic crime top of the agenda among legal businesses
Explore how SRA Transparency Rules and clear pricing boost client trust, improve onboarding, and help firms stand out via reviews and comparison sites.
Andrea Cohen outlines what’s on the regulatory horizon and sets out what should be on your risk radar in the coming year
Nigel West considers two Solicitors Disciplinary Tribunal cases – one regarding a failure to act in the best interests of a client and another on fines for sexual harassment
Tracey Calvert outlines what’s on the regulator’s radar for the coming year and sets out some action points on how to be proactive in planning for compliance challenges
Lindsay Hill, Mitigo chief executive officer, answers some key questions about the impact of cyber risks on professional indemnity insurance
Rebecca Atkinson explores the SRA’s new fair treatment rule
The challenge for any profession is to ensure that its members not only meet the requisite standard to be admitted into the profession, but also that they maintain those standards. This is partly from self-interest – the pride of a profession of the standard which distinguishes it – but, for ...
Susanna Heley and Nigel West consider the SRA’s recent guidance on its approach to fines and decision-making in disciplinary cases, and outline some of the practical issues this raises
Jessica Clay looks at the regulatory landscape developing for the use of artificial intelligence in England and Wales and around the world
Jonathon Bray considers why a solicitor’s client account cannot be used as a ‘banking facility’ – and how to stay safe
Colin Hulme, head of intellectual property (IP) at Burness Paull, considers the impact of environmental, social, and corporate governance (ESG) programmes on the observance of copyright by corporates
With artificial intelligence much in the news lately, Robert Bond considers the data protection risks it presents to law firms
Julie Norris and Alfie Cranmer provide an update on changes to sanctions affecting those providing legal advisory services in the UK
Jayne Willetts and Bronwen Still consider the key findings of a recent pilot scheme run by the legal regulators on improving quality indicators in the legal sector
Explore SRA Accounts Rules changes, including client money definitions, proposed updates, reimbursements, client accounts, and the banking facility rule.
Lucy Trevelyan looks at the increasing popularity of the consultancy model of providing legal services
Jessica Clay and Lucinda Soon summarise how the SRA can regulate solicitors’ behaviour in and out of the workplace, and analyse in what circumstances they will choose to take action
The Building Safety Act 2022 has introduced new risks and the impact on the PI insurance market is still unknown. Piers Winton, director at Paragon International Insurance Brokers, looks at what’s in the Act and outlines the risks it poses for law firms
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.
Laura Williamson provides some top tips on dealing with property transactions where overseas entities are involved
Sharpen your understanding of the significance of and requirements surrounding client due diligence in relation to source of wealth (SOW) and source of funds (SOF).
Watch this webinar to bring you up to date on the risks and red flags associated with money laundering through underground banking.
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
Piers Winton, Director at Paragon International Insurance Brokers, summarises the Building Safety Act and outlines the risks it poses for law firms
Adam Sher considers the issue of privilege and its impact on SRA investigations
Bronwen Still provides an overview of the regulatory requirements around confidentiality, and outlines some of the more common, and difficult, situations facing firms
Changes to the Legal Ombudsman Scheme Rules came into effect on 1 April 2023. Paul Wightman outlines what to expect
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
Rina Patel considers the SRA’s evolving position on SLAPPS
Jonathon Bray looks at proposals that law firms with toxic workplace cultures may face disciplinary action in the Solicitors Disciplinary Tribunal
Watch this webinar to get up to date with your compliance obligations and understand what new regulations are on the horizon
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
Michelle Garlick outlines what’s on the regulatory horizon and sets out what law firms and their employees can expect in the coming year
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
Tracey Calvert and Paul Bennett consider the obligations of firms with regard to the conduct and behaviour of their support staff
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
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
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.
Mitigo highlights six things to consider in light of the SRA’s thematic review on cyber security
Carly Fallon provides some top tips on how to prepare for an anti-money laundering audit by the SRA
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
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
A year on from the introduction of the Solicitors Qualifying Examination, Melissa Hardee considers its impact and successes so far
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
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
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
Our Practice Advice Service answers some commonly asked questions by Money Laundering Reporting Officers (MLROs)
Robert Forman, Senior Consultant at Murdochs Professional Discipline Solicitors, reviews the latest edition of The Solicitors Disciplinary Tribunal: Law & Practice (2nd) by Nigel West and Susanna Heley
Our Practice Advice Service answers some commonly asked questions by Money Laundering Reporting Officers (MLROs)
Nigel West considers a recent case in the Competition and Markets Authority that may have an impact on costs in disciplinary matters.
Rebecca Atkinson, Director of Risk at Howard Kennedy LLP, reviews the latest edition of Client Care in Conveyancing by Priscilla Sinder.
Jayne Willetts considers how the introduction of flexibility in the regulator’s approach to the SRA Accounts Rules is working in terms of breaches
Robert Forman outlines the SRA’s plan to increase and extend the fines it can issue to regulated solicitors
Peter Scott considers law firm performance measures in light of the SRA’s recent thematic review on workplace culture
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
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
Learn about the importance of integrating equality, diversity and inclusion (EDI) into your firm’s processes.
Watch our webinar to learn how to be compliant with the Economic Crime (Transparency and Enforcement) Act 2022.
Robert Bond, senior counsel, Privacy Partnership Law reviews the latest edition of UK General Data Protection Regulation - A Guide to the Law by James Castro-Edwards.
Jessica Clay reviews the latest edition of the Solicitors Handbook 2022 (Law Society, 2021, £100) by Gregory Treverton-Jones QC, Nigel West, Susanna Heley and Robert Forman
Rebecca Atkinson will give an overview of the key issues facing firms and offer practical guidance on challenges for compliance professionals.
Jon Bray and Rachael Eyre consider the importance of ongoing and effective client due diligence
As workplace culture comes under increasing focus from the regulator, Iain Miller examines the relationship between culture and compliance
Melissa Hardee outlines the requirements for qualifying work experience (QWE) under the solicitors qualification scheme
Anita Clifford considers the money laundering risks associated with digital assets and the implications for the regulated legal sector
Denise Wright outlines the growth of legal apprenticeships in the legal sector and shares the experience in her firm
Nigel West considers a recent case where electronic signatures came under the spotlight
Nigel West considers the result of an intervention by the regulator into a solicitors practice.
The Legal Ombudsman has produced a guide to help solicitors improve their complaints handling processes. Here are their top tips.
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
Frank Maher considers how the proposed cyber exclusion and the closure of Solicitors Indemnity Fund may sit outside existing professional indemnity insurance cover
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
Gideon Habel and Emma Walker reflect on the disproportionate effects of regulation and share their vision of effective regulation and equitable outcomes for everyone
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
Robert Bond considers the proposals set out in a consultation on changes to data protection in the UK post-Brexit
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.