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详细
The new second edition of Risk and Compliance Questions and Answers has been updated to incorporate the latest regulatory information and guidance from government, the SRA, LSAG and the Law Society.
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
· Economic Crime and Corporate Transparency Act 2023
· 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; this book can be dipped into as required or read cover to cover to assist with a firm or legal department’s risk assessment and audit process.
附加信息
| Student Edition ISBN |
不可用 |
| Previous edition isbn |
9781784461980 |
| Hardback edition isbn |
否 |
| Paperback edition ISBN |
否 |
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- PART 1: Anti-money laundering
- 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 2017
- 8. Sanctions
- PART 3: Regulation and compliance
- 9. Regulatory framework
- 10. Practising certificates, certificate renewals, continuing competency regime and health issues
- 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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Rebecca Atkinson is a barrister (unregistered), solicitor of England and Wales and a New York Attorney. Formerly General Counsel, COLP, MLRO and MLCO at Howard Kennedy LLP, Rebecca now provides risk and compliance services through her own practice. Tracey Calvert is a lawyer who has worked both in private practice and in-house. She has been a senior ethics adviser and then a policy executive with the Law Society and the SRA. She now runs her own consultancy business which provides regulatory, compliance and ethics services.
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I can see it being used not just as a first port of call to dip into when the need arises, but also as a tool for auditing your own compliance processes. There are some excellent summaries here which could also form the basis of informal training sessions, inductions, and risk discussions. (Review of previous edition)
Fiona du Feu is a legal risk and compliance consultant
