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The Law and Regulation of Solicitors: Management Skills

The Law and Regulation of Solicitors: Management Skills

Author: Katie Jackson
Publisher: Bloomsbury Professional (formerly Tottel Publishing)
ISBN: 9781526524577
Published In: May 2024
Format: Paperback
Jurisdiction: U.K. ? Disclaimer:
Countri(es) stated herein are used as reference only

List Price: HKD 1,950.00

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Description
Contents

Details

Drawing on the author's direct experience as a regulatory decision maker and her subsequent time teaching legal services professionals, The Law and Regulation of Solicitors: Management Skills brings together a broad range of materials based on research and presentations from continuous professional development for law firms.

Encompassing a wide range of regulatory and compliance subjects, the texts and materials present the context and expectations of legal regulators such as the SRA and CLC in an easily referenceable format.

Each section covers material on different management subjects intended to be used by senior and aspiring management in law firms. With reference to key legislation in the regulation of solicitors and other lawyers; example policies featured within the texts; and an extensive range of template internal AML audits; the book is an important reference guide for those running a law firm.

There is a wide range of learning activities in each section which readers can use within their law firm to develop staff understanding of ethics, regulation and compliance in legal services; reflecting the range of knowledge that regulators expect law firms to be able to demonstrate.

The book references the primary regulatory system of the SRA, with specific examples of their supervisory practice, including how to respond to an SRA investigation. Those regulated by the CLC will find an authoritative chapter on the legislation underlying their regulation and supervision.

This is an essential manual for the necessary management skills required for legal professionals, management, COLPs and COFAs in law firms, as well as solicitors, barristers, licensed conveyancers and paralegals.

Part 1 – Law Firm Structure and Management
1. Separate business rule
2. Everyday COLP and COFA
3. Everyday COLP and COFA
4. File reviews
5. Strategic planning
6. Developing a culture of compliance
7. CLC regulation

Part 2– Risk Management
8. Risk management and calculations
9. . AML risk
10. Law firm qudit
11. Geographical risk

Part 3 – Disciplinary
12. SRA investigations
13. Investigation and enforcement
14. Individual regulatory responsibilities
15. A year in review

Part 4 – General CPD
16. Acting in the best interests of the client
17. Client care letters
18. Client confidentiality
19. Legal funding
20. Legal ethics for paralegals
21. Legal ethics for solicitors and other lawyers
22. GDPR and data protection
23. Vulnerable clients
24. Equality and diversity
25. Complaint handling
26. Conflict of interest
27. Mortgage fraud
28. Cybercrime in supply chains