Fully revised and updated, the third edition of Outcomes-Focused Regulation: Compliance in Practice brings practitioners up to date with recent and upcoming changes to the SRA Handbook and evolving regulation. Covering all the main requirements of the Handbook, the drivers behind them, and essential steps to remain compliant, it also provides practical tools to help firms formulate a compliance plan. Also included are real-life case studies from leading practitioners, giving critical insight into practical issues faced by compliance officers, and best-practice advice on good governance and compliance planning. Key features of this updated book include: * Information on the effects of the LSA and the changes it has brought; * An overview of the 16th version of the SRA Handbook; * The SRA Principles; * The SRA’s approach to authorisation and its views on risk, including information from the Regulatory Risk Framework; * The SRA Code of Conduct and an explanation of its compliance requirements and risk management strategies in key areas such as client care, conflicts of interests, and confidentiality, referrals, outsourcing, separate businesses, and overseas practice; * An indicator of changes on the horizon and how the SRA is likely to respond; * The SRA’s approach to supervision, including a reference to the indicators in the various supervision and enforcement strategies published by the SRA; * Advice on compliance planning; and * Case studies and practitioners’ perspectives. This book is designed to assist firms to develop and strengthen their governance arrangements and risk management strategies as they become more familiar with outcomes-focused regulation. It also flags up new business opportunities available to firms through external investment and the use of separate businesses.
विषयसूची
Chapter 1: Constant change in the legal services market Chapter 2: The opening up of the legal services market Chapter 3: The SRA’s response to the LSA Chapter 4: The SRA Handbook Chapter 5: How the SRA evaluates and deals with law firm risk Chapter 6: Authorisation Rules and how they affect all firms Chapter 7: An analysis of the COLP and COFA roles Chapter 8: Other requirements for authorised firms Chapter 9: The SRA’s powers over firms Chapter 10: How new firms become authorised Chapter 11: The SRA Code of Conduct 2011 and the practical application of OFR Chapter 12: Client care Chapter 13: Conflicts of interests Chapter 14: The duty of confidentiality and disclosure Chapter 15: Fee sharing and referrals Chapter 16: Separate businesses Chapter 17: Outsourcing Chapter 18: Compliance with the rest of the SRA Code of Conduct 2011 Chapter 19: SRA Overseas Rules 2013 Chapter 20: SRA Accounts Rules 2011 – The compliance requirements and the role of the COFA Chapter 21: Other significant aspects of the SRA Handbook Chapter 22: Compliance planning
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Tracey Calvert Tracey Calvert is a lawyer who has worked in the law since 1985. She initially worked in a niche shipping law practice in the City of London, specialising in non-contentious work, and was then employed by a local authority in Worcestershire before joining the Law Society in 1997. Tracey was recruited as an ethics adviser in the Professional Ethics guidance team and became a senior ethics adviser in 2003. Her responsibilities in this role included the training and quality assurance of this highly popular and successful team, which provided confidential guidance to members of the profession on all aspects of conduct. Tracey has also accepted secondments to the Law Society/SRA professional indemnity team and as a manager of the casework and operational policy team, dealing with admission, character, and suitability issues. In 2009, she took up her final role within the SRA, joining the policy team. She was a member of a very small team which drafted the SRA Handbook and her particular responsibilities were in respect of the new SRA Code of Conduct and the rules in the `Specialist Services’ section of the Handbook. Tracey’s particular interests are conduct, equality and diversity development, financial services, and anti-money laundering policy. During her time at the SRA she has drafted many rules, guidance and articles, and has engaged in many stakeholder activities, both generally and in respect of the SRA Handbook. Tracey is the director of Oakalls Consultancy Limited which provides regulatory compliance services to individuals and entities regulated by the SRA. She lectures on professional conduct, financial services, and anti-money laundering policies, and also provides compliance training and writes on compliance topics. Tracey has previously written a number of ARK Group books: Outcomes-Focused Regulation: Compliance in Practice and COLP and COFA: Compliance in Practice (both in their second edition), Ethics in Law Firms: A Practical Guide, and In-House Ethics in Practice. Tracey can be contacted via email at her consultancy. Bronwen Still Bronwen Still is a solicitor who worked in high-street practice doing mainly crime, matrimonial and conveyancing work before joining the Law Society in 1980. She worked in many capacities for the Law Society (and subsequently the SRA), initially handling complaints, dealing with interventions and prosecuting cases before the Solicitors Disciplinary Tribunal.
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