Risk & Compliance

Articles

15 Nov 2016

Preparing for 4MLD

Trudy Dargeviciute discusses the UK's transposition of the new directive, and how this will affect firms' anti-money laundering systems and controls

14 Nov 2016

Cyber crime: Preparing for attack

Are the SRA's principles and security practices both sides of the same argument, asks Peter Cohen

1 Nov 2016

The obligation to obtain an accountant's report

Changes to the Accounts Rules intended to cut red tape have increased the administrative burden for practices that hold little client money, warns Jennifer Martin

28 Oct 2016

White knight or quixotic soldier?

Worried about access to justice, the SDT has raised its head above the parapet, but its concerns are unlikely to have any lasting effect if it doesn't broadcast them consistently, writes Jean-Yves Gilg

28 Oct 2016

Consistent approach needed for suitability test

Lack of clarity over how the SRA applies its test criteria is 'part of the problem', says former Law Society president

18 Oct 2016

A solution looking for a problem

The SRA's 'Looking to the Future' consultation risks creating unnecessary uncertainty for solicitors in traditional practices, especially in compliance roles, writes Michelle Garlick

12 Oct 2016

How to make compliance work for you

Compliance is often perceived as a cross to bear, but putting procedures in place to manage risk and engaging with employees can lessen the burden, says Victoria Simpson

7 Sept 2016

Lateral hires: The challenges of protecting confidentiality

Following the PAG litigation, firms need to be aware of the problems that recruiting staff at every level can cause, write Andrew Blair and Stephanie Robinson