Industry Insights

There is a huge problem with Anti Money Laundering regulation. The penalties, as we know, are incredibly serious. Yet very few people know exactly what their obligations are. What’s going [...]

January The year started with the shock resignation of Catherine Dixon as the Law Society’s Chief Executive. She went down in a blaze of glory criticising the Law Society as “moribund, [...]

By Lisa Charles Like many others, I spent Halloween at the annual Compliance Conference 2017. This was the 5th compliance conference and was well attended with 1400 registered for the event and [...]

The dreaded complaint. You work your backside off for a client and then out of nowhere you receive the email. Subject: COMPLAINT. It feels like a kick in the teeth. You can’t help taking it [...]

You will find your obligations relating to supervision in Chapter 7 of the Code of Conduct. In particular, outcome 7.8, which states that you must have ‘a system for supervising clients’ matters, [...]

Lisa Charles explains why attendance notes are integral to a well-run file. Part of my role is to undertake file reviews – yup I’m one of those annoying people who nit-picks through your [...]

Introduction to SRA Regulation for ABSs from Jonathon Bray

The SRA Risk Outlook 2017/18 was published on the 25th July.  There are eight priority risks identified for the coming year, namely: Lack of access to legal services Standards of service [...]

Anti-virus software Software that can detect the presence of a virus within a computer file and warn you there is a problem. Anti-spam filter   ‘Spam’ is unsolicited commercial email and these [...]

From the 17th July you will have four weeks to complete your firm’s diversity data and report to the SRA.  It may be way down the list of priorities, and what difference does it make anyway [...]