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Regulation, Compliance and Ethics in Law Firms 2nd ed

ISBN13: 9781787423787
Previous Edition ISBN: 9781787422285
Published: July 2020
Publisher: Globe Law and Business
Country of Publication: UK
Format: Paperback
Price: £75.00

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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.

In November 2019, The SRA replaced the SRA Handbook with a new regulatory toolkit called the SRA Standards and Regulations. Solicitors and everyone working in authorised law firms are now expected to achieve the behaviours in the S & R. The second edition of Regulation, Compliance and Ethics in Law Firms has been updated to include the following:

  • An overview of the changes introduced by the S & R
  • Commentary on the SRA Principles and the challenges of ensuring the right response in an individual's professional and private life
  • An explanation of the two Codes of Conduct and the correct compliance response in law firms
  • Updated disciplinary decisions, and
  • Case studies from leading practitioners and compliance experts

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.

Professional Conduct and Ethics
Section 1: Governance and risk management
Chapter 1: Effective law firm management
Section 2: Demonstrating regulatory compliance in practice
Chapter 2: What is ethics?
Chapter 3: Essential behaviour
Chapter 4: Evidence of compliance
Chapter 5: Safe client inception processes
Chapter 6: Compliance in the litigation arena
Chapter 7: Adding the people and commercial perspective to regulatory standards
Chapter 8: The Legal Ombudsman – why are we bothered?
Section 3: Compliance with legal obligations
Chapter 10: Managing the money laundering risk
Chapter 11: Managing the risks of handling data
Section 4: Compliance tools and resources
Chapter 12: Be aware of recent changes
Chapter 13: Remote working – compliance considerations
Chapter 14: Conclusion
Chapter 15: Resources
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