Regulation, compliance and ethics are the three common features of all well-run law firms. Without an understanding of regulatory expectations, compliance duties and ethical behaviours, a firm runs the risk of censure, adverse publicity, and client dissatisfaction.
In November 2019, The SRA replaced the SRA Handbook with a new regulatory toolkit called the SRA Standards and Regulations. Solicitors and everyone working in authorised law firms are now expected to achieve the behaviours in the S & R. The second edition of Regulation, Compliance and Ethics in Law Firms has been updated to include the following:
• An overview of the changes introduced by the S & R;
• Commentary on the SRA Principles and the challenges of ensuring the right response in an individual’s professional and
private life;
• An explanation of the two Codes of Conduct and the correct compliance response in law firms;
• Updated disciplinary decisions; and
• Case studies from leading practitioners and compliance experts.
It is essential that law firm owners and managers acknowledge and have strategies to accommodate risk management, regulatory and legal compliance and ethical values in their business. They must also have a common understanding as to how this will be achieved. This guide is intended to provide lawyers with the language, arguments and practical solutions which are needed to make this happen.
Daftar Isi
Preface 5
Section 1: Governance and risk management 9
Introduction 9
Chapter 1: Effective law firm management 11
Section 2: Demonstrating regulatory compliance in practice 73
Introduction 73
Chapter 2: What is ethics? 81
Chapter 3: Essential behaviour 85
Chapter 4: Evidence of compliance 115
Chapter 5: Safe client inception processes 121
Chapter 6: Compliance in the litigation arena 131
Chapter 7: Adding the people and commercial perspective to regulatory standards 147
Chapter 8: The Legal Ombudsman – why are we bothered? 153
Section 3: Compliance with legal obligations 165
Introduction 165
Chapter 9: An overview of legal compliance 169
Chapter 10: Managing the money laundering risk 177
Chapter 11: Managing the risks of handling data 197
Section 4: Compliance tools and resources 205
Introduction 205
Chapter 12: Be aware of recent changes 209
Chapter 13: Remote working – compliance considerations 215
Chapter 14: Conclusion 227
Chapter 15: Resources 235
Notes 237
About the author 241
Index 243
About Globe Law and Business 249
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