Risk and Compliance Questions and Answers

Through a series of over 200 questions and answers, covering common to complex issues, this book provides practical guidance on points that those tasked with risk and compliance in their firm or business need to consider and respond to quickly. It also provides invaluable assistance to all managers and fee earners working in the firm.

Covering key areas such as:

• anti-money laundering
• financial crime (including sanctions)
• the regulatory framework
• the SRA Accounts Rules
• data protection
• professional ethics
• conflicts and confidentiality
• client care, and
• law firm management and HR

Each question and answer also suggests helpful resources and provides valuable compliance tips.

An essential companion on your risk and compliance journey – whether that is a new road being navigated or a well-trodden path – the book can be dipped in to as required, read cover to cover or used to assist with a firm or legal department’s risk assessment and audit process.