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Archives

Author Archive for: "Jonathon Bray"
 Another fine mess: £20k SRA fine for systemic AML breaches
0
By Jonathon Bray
In Industry Insights
Posted 20th January 2023

Another fine mess: £20k SRA fine for systemic AML breaches

Not long ago, our fortnightly newsletter (COLP Insider) reported the occasional low level fine for firms incurring the ire of the SRA for AML failures. £600 for a lack of risk assessment here, [...]

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 COLP Insider – The SRA Compliance Newsletter 20 January 2023
0
By Jonathon Bray
In
Posted 20th January 2023

COLP Insider – The SRA Compliance Newsletter 20 January 2023

Another fine mess: £20k SRA fine for systemic AML breaches Not long ago, we were reporting the occasional low level fine for firms incurring the ire of the SRA for AML failures. £600 for a lack [...]

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 Data protection: GDPR turns 5!
0
By Jonathon Bray
In Industry Insights
Posted 20th January 2023

Data protection: GDPR turns 5!

It’s been a rollercoaster first 5 years for GDPR, says Rachael Eyre. Regulation (EU) 2016/679, more commonly known as the General Data Protection Regulation (GDPR) received its final approval by [...]

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 Data protection: Are solicitors supposed to check a caller’s identity?
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By Jonathon Bray
In Industry Insights
Posted 20th January 2023

Data protection: Are solicitors supposed to check a caller’s identity?

Rachael Eyre, certified data protection practitioner, looks at law firms’ duties to establish a client’s identity when they call the office. We are all familiar with the routine. [...]

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 COLP Insider – The SRA Compliance Newsletter 6 January 2023
0
By Jonathon Bray
In
Posted 6th January 2023

COLP Insider – The SRA Compliance Newsletter 6 January 2023

Top 10 SRA compliance topics of 2022…and what’s on the horizon in 2023 December’s webinar (see below for recording) was a roundup of the top 10 SRA compliance topics of 2022, with some 2023 [...]

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 Top 10 SRA compliance topics of 2022…and what’s on the horizon in 2023
0
By Jonathon Bray
In Industry Insights
Posted 6th January 2023

Top 10 SRA compliance topics of 2022…and what’s on the horizon in 2023

December’s webinar (recording link sent to our COLP Insider newsletter subscribers) was a roundup of the top 10 SRA compliance topics of 2022, with some 2023 predictions thrown in for good [...]

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 Register of overseas entities – time is running out to send information notices to beneficial owners [template document]
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By Jonathon Bray
In Industry Insights
Posted 19th December 2022

Register of overseas entities – time is running out to send information notices to beneficial owners [template document]

For those advising clients on the register of overseas entities under the Economic Crime (Transparency and Enforcement) Act 2022 (ECTEA), two important deadlines are looming.  Don’t miss [...]

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 COLP Insider – The SRA Compliance Newsletter 16 December 2022
0
By Jonathon Bray
In
Posted 16th December 2022

COLP Insider – The SRA Compliance Newsletter 16 December 2022

The SRA’s New ‘Effective Supervision’ Guidance Is Both Prescriptive And A Must Read For All Law Firms New guidance from the Solicitors Regulation Authority sets out the expectations placed on law [...]

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 The SRA’s new ‘effective supervision’ guidance is both prescriptive and a must read for all law firms
0
By Jonathon Bray
In Industry Insights
Posted 16th December 2022

The SRA’s new ‘effective supervision’ guidance is both prescriptive and a must read for all law firms

New guidance from the Solicitors Regulation Authority sets out the expectations placed on law firms when it comes to ‘effective’ supervision.  Although the guidance does not officially carry the [...]

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 Financial scorecard – Are you ready to earn more interest on your client monies?
0
By Jonathon Bray
In Industry Insights
Posted 16th December 2022

Financial scorecard – Are you ready to earn more interest on your client monies?

Overcoming the challenges associated with economic instability looks set to trouble individuals and businesses alike in 2023. Increased wage demands look certain to add to the rising cost of [...]

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