Regulation, Compliance and Ethics in Law Firms

Legal Profession

Regulation, Compliance and Ethics in Law Firms

By Tracey Calvert
Globe Law and Business November 2018

Specifications

ISBN-13
9781787422285
Publisher
Globe Law and Business
Publication
November 2018
Format
Paperback
Jurisdiction
U.K. ? Countri(es) for reference only
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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.

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.

Table of Contents

Table of contents
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 79
Introduction 79
Chapter 2: What is ethics? 87
Chapter 3: Essential behaviour 91
Chapter 4: Evidence of compliance 121
Chapter 5: Safe client inception processes 127
Chapter 6: Compliance in the litigation arena 137
Chapter 7: Adding the people and commercial 153
perspective to regulatory standards
Chapter 8: The Legal Ombudsman – why are we bothered? 159

Section 3: Compliance with legal obligations 169
Introduction 169
Chapter 9: An overview of legal compliance 173
Chapter 10: Managing the money laundering risk 181
Chapter 11: Managing the risks of handling data 201

Section 4: Compliance tools and resources 209
Introduction 209
Chapter 12: Be aware of changes 213
Chapter 13: Conclusion 219
Chapter 14: Resources 227

Notes 227
About the author 233
Index 235
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