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Risk and Compliance Questions and Answers

Risk and Compliance Questions and Answers

作者： Rebecca Atkinson; Tracey Calvert
出版商： Law Society Publishing
ISBN: 9781784461980
出版时间 August 2022
规格： Paperback
适应领域： U.K. ? 免责申明：
Countri(es) stated herein are used as reference only

List Price: ￥755.63

￥732.96 Save ￥22.66 (3%)

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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.
Part 1: AML
1: Anti-money laundering legislation
2: Risk assessments
3: Client due diligence
4: Suspicion and suspicious activity reports
5: Practice management and HR
Part 2: Financial crime
6: Anti-bribery and corruption
7: Tax evasion and the Criminal Finances Act
8: Sanctions
Part 3: Regulation and compliance
9. Regulatory framework
10: Practising certificates, PC renewals and continuing competency regime
11: SRA Accounts Rules
12: Data protection
13: Financial services
14: Modern slavery
15: Price transparency
16: Conflicts of interest
17: Confidentiality, disclosure and conflict of duties
18: Acting on a client’s matter
19: Client care
20: Running a law firm: compliance questions

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