Regulation, Compliance and Ethics in Law Firms, 2nd Edition

Author: Tracey Calvert
Publisher: Globe Law and Business
ISBN: 9781787423787

Previous Edition ISBN: 9781787422285
Published In: July 2020
Format: Paperback , 245 pages
Jurisdiction: International ? Disclaimer:
Countri(es) stated herein are used as reference only

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Description
Contents
Reviews

Details

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.

Preface

Section 1: Governance and risk management

Introduction

Chapter 1: Effective law firm management

Section 2: Demonstrating regulatory compliance in practice

Introduction

Chapter 2: What is ethics?

Chapter 3: Essential behaviour

Chapter 4: Evidence of compliance

Chapter 5: Safe client inception processes

Chapter 6: Compliance in the litigation arena

Chapter 7: Adding the people and commercial perspective to regulatory standards

Chapter 8: The Legal Ombudsman – why are we bothered?

Section 3: Compliance with legal obligations

Introduction

Chapter 10: Managing the money laundering risk

Chapter 11: Managing the risks of handling data

Section 4: Compliance tools and resources

Introduction

Chapter 12: Be aware of recent changes

Chapter 13: Remote working – compliance considerations

Chapter 14: Conclusion

Chapter 15: Resources

Notes

About the author

Index

Review from previous edition: It is a guide which the writer intends to provide lawyers “with the language, arguments and practical solutions which are needed to make this happen”. Tracey Calvert succeeds brilliantly in her advice to us on modern regulation.

- Phillip Taylor MBE, Richmond Green Chambers

Great book - we have the first edition and find it very helpful.

- Ian Hunt, Managing Partner, East Devon Law