This book covers a range of materials the author has written and presented for law firms as continuous professional development, since 2014. Covering a wide range of regulatory and compliance subjects, and the detail of the regulatory rules themselves, the texts and materials present the context and expectations of legal regulators in greater detail than available elsewhere. The author's direct experience as a regulatory decision maker provides the backdrop to the guidance provided about the application of the rules. Each section includes material used as CPD, along with activities for the reader to complete to embed their learning.
Read an extract of The Law and Regulation of Solicitors: Management Skills
Table of Contents
Part 1 - Law Firm Structure and Management Introduction 1. SRA Separate Business Rule: Client Care and Freelance Forms of Practice under the SRA Standards and Regulations Annex A. Separate Business Rule Scenarios - Sample Answers 2. Everyday COLP and COFA Annex A. COLP and COFA Template RAG/Balanced Scorecard Report 3. Conducting File Reviews – Regulation, Risk Management, and Meeting Standards 4. Strategic Planning in the Legal Services Market Boxes – Added Value Strategy 5. Anti-Money Laundering - How to Develop a Culture of Compliance for Law Firms 6. CLC Regulation and Compliance PART 2 – RISK MANAGEMENT Introduction 7. Risk Management 8. Law Firm Audits Annex A. AML Audit - Risk Assessments Annex B. AML Audit – Training Annex C. AML Audit - Policies, Controls and Procedures Annex D. AML Audit – Governance Annex E. AML Audit – Reporting Annex F. AML Audit Overview Management and AML - Balanced Scorecard Annex G. Example Quality of Advice - Audit Form Annex H. Example Audit - Customer Service and Satisfaction 9. AML in Scotland – Risk Factors and International Instructions for Law Firms PART 3 – MANAGING DISCIPLINARY Introduction 10. SRA Investigations Annex A. Sample Answer Annex B. Sample Allegation Answer 11. Always in Fashion: Timeless AML & Compliance for Small Firms and Sole Practitioners Annex A. Conflict of Interest Wording Annex B. Example Reconciliation Form 12. Law Firm Regulation 2020–2021: A Year in Review 13. Chapter 13: Individual Regulatory Responsibilities and Reporting PART 4: MANAGING THE CODE OF CONDUCT AND GDPR Introduction 14. Legal Ethics 15. Conflict of Interest 16. Vulnerable Client 17. Equality and Diversity 18. Confidentiality and the GDPR 19. Cybercrime 20. Mortgage Fraud and Anti Money Laundering 21. Managing Client Care and Complaints PART 5: AT YOUR DESK – BEGINNING MANAGEMENT 22. At Your Desk – Beginning Management