By Ed Marshall At the risk of making you utter the phrase “not another AML blog post”, welcome to another anti-money laundering blog post. The idea for this one came from our recent visit to the [...]

By Sophie Cisler It’s been a bit of a wild ride in legal services regulation recently. We’ve had the Axiom Ince and now SSB reports, with deep criticisms of the SRA. Only a few weeks ago, the [...]

The COLP COFA conference always gives a useful into what the regulator is worried about, where supervision is heading, and how firms should respond. Here are the headlines we took away. 1) The [...]

By Samantha Bray Shutting the doors of a firm you’ve built or led is unlikely to feel like a compliance task. It’s much more personal. You’ll feel the weight of responsibility to clients, your [...]

Mergers, ownership changes, insolvencies and outsourcing projects all create pressure to move large numbers of client files at speed. It’s tempting to treat the exercise like warehousing: count [...]

By Samantha Bray In a sector where reputation is everything, your ethics are your competitive advantage. Working in risk and compliance, we spend a lot of time helping firms navigate regulations, [...]

Off the back of our recent webinar with Gary Horswell from Ntegrity, here is a practical, step-by-step way to prepare your solicitors PII proposal so you’re not firefighting in the week of [...]

By Liz Bond Rule 3.3 of the SRA Accounts Rules, which prohibits the use of a client account as a banking facility, often causes considerable stress and raises a number of questions. This is why [...]

By Sophie Cisler It’s a simple question, and a seemingly simple answer. Who can conduct litigation? Answer: Authorised individuals as per the Legal Services Act 2007. And yet, it’s really not an [...]

By Sophie Cisler I was excited speak at the Legal Compliance Collective discussion forum earlier this week on the topic Solicitors’ Ethics – Where Are We Going? We’ve been wringing our [...]