Risk & Compliance

Articles

24 Jan 2020

Disabled lawyers bullied and disadvantaged

10 Jan 2020

5AMLD: firms must take 'immediate' action, but guidance delayed

1 Dec 2019

It's all in the STARs.

It's all in the STARs The SRA Standards and Regulations have arrived and solicitors and firms must be able to justify their decisions if they want to demonstrate compliance, says Tracey Calvert

29 Nov 2019

'Triggered' solicitor struck off for dishonest letter

A claimant personal injury lawyer who had an unblemished record in practice for more than two decades agreed to being struck off after admitting dishonest conduct.

14 Nov 2019

Insightful misconduct

Learning lessons from previous mistakes is an important factor for the disciplinary tribunals when determining sanctions, says Susanna Heley

30 Oct 2019

Help! I'm the new COFA

Taking on the role of compliance officer for finance and administration (COFA) requires sound knowledge and financial skills as well as firmwide teamwork, says Tracey Calvert

30 Oct 2019

Keeping a secret

Training and appropriate policies should create the right foundation for confidentiality and data protection compliance in practice, says Tracey Calvert

30 Oct 2019

SRA publishes Risk Outlook

Money laundering, dubious investment schemes, and the perils of losing information or money to cybercrime are highlighted as risks in the Solicitors Regulation Authority's (SRA) Risk Outlook.