Features
Weight of responsibility
In light of the SRA’s recent thematic review of compliance officers, Liz Bond and Jonathon Bray consider how firms can support their compliance officers to meet regulatory requirements
Direction of travel
Recent law firm failures, the rising cost of regulation, higher payments to the compensation fund and client account reform mean the SRA is seeking a reset. Cary Whitmarsh considers what the direction of travel might look like for the regulator
Advice for advisers
Tax advisers are now required to register with HMRC. Nick Paterno explains why the new registration rules affect most law firms, and what your firm needs to do to comply
Handling complaints
Robert Bond outlines new requirements for handling complaints involving data protection
Fit for purpose?
David Pett asks if a principles-based SRA Code of Conduct reflects the increasingly investigatory approach of the regulator
AML update
Baljeet Harley outlines the changes to the anti-money laundering regulations and provides an overview of what firms should do to comply with the amendments
Competence checks
Melissa Hardee provides an update on the SRA’s continuing competence requirements
Behind enemy lines
In the first of two articles, Matthew Edwards considers common scenarios where an opponent’s error can raise conflicting compliance obligations and provides guidance on how regulated individuals can deal with them