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Adding ethics to the compliance agenda

The consequences of allowing improper ethics into the workplace will likely be dire for the individual concerned and their firm, warns Tracey Calvert

28 February 2017

Compliance professionals are familiar with the concept of continuous assessment to evaluate how successfully they have addressed the various regulatory demands made of them and their firms by the Solicitors Regulation Authority. They look at their breaches records, complaints data, dealings with the SRA and Legal Ombudsman, and similar. The idea is to consider which, if any, of their systems and policies need fine-tuning, where their risk pinch points are, how to remedy hotspots, and how to develop areas of proven success.

This is of course very sensible. The SRA likes to see evidence of this; the handbook is littered with clues in words and phrases such as ‘evaluation’, ‘monitoring’, and ‘continuous improvement’, which begs an answer to the following question: what have we learnt about ourselves and what could we do better or differently?

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