The Law and Regulation of Solicitors: Management Skills

Préface
A collection of training courses and resources written to develop understanding of ethics, regulation, and compliance in legal services.

Auteur

Katie Jackson is a former regulator at the Solicitors Regulation Authority and Council for Licensed Conveyancers. She is currently an examiner on the Professional Skills Course in Finance and Business for Datalaw, and a course provider for the National Association of Paralegals in Professional Skills. She is also a consultant in professional standards to law firms.

Texte du rabat

This book covers a range of materials the author has written and presented for law firms as continuous professional development, since 2014. Covering a wide range of regulatory and compliance subjects, and the detail of the regulatory rules themselves, the texts and materials present the context and expectations of legal regulators in greater detail than available elsewhere. The author's direct experience as a regulatory decision maker provides the backdrop to the guidance provided about the application of the rules. Each section includes material used as CPD, along with activities for the reader to complete to embed their learning.

Résumé
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.

Contenu
Part 1 - Law Firm Structure and Management Introduction 1. SRA Separate Business Rule: Client Care and Freelance Forms of Practice under the SRA Standards and Regulations Annex A. Separate Business Rule Scenarios - Sample Answers 2. Everyday COLP and COFA Annex A. COLP and COFA Template RAG/Balanced Scorecard Report 3. Conducting File Reviews Regulation, Risk Management, and Meeting Standards 4. Strategic Planning in the Legal Services Market Boxes Added Value Strategy 5. Anti-Money Laundering - How to Develop a Culture of Compliance for Law Firms 6. CLC Regulation and Compliance PART 2 RISK MANAGEMENT Introduction 7. Risk Management 8. Law Firm Audits Annex A. AML Audit - Risk Assessments Annex B. AML Audit Training Annex C. AML Audit - Policies, Controls and Procedures Annex D. AML Audit Governance Annex E. AML Audit Reporting Annex F. AML Audit Overview Management and AML - Balanced Scorecard Annex G. Example Quality of Advice - Audit Form Annex H. Example Audit - Customer Service and Satisfaction 9. AML in Scotland Risk Factors and International Instructions for Law Firms PART 3 MANAGING DISCIPLINARY Introduction 10. SRA Investigations Annex A. Sample Answer Annex B. Sample Allegation Answer 11. Always in Fashion: Timeless AML & Compliance for Small Firms and Sole Practitioners Annex A. Conflict of Interest Wording Annex B. Example Reconciliation Form 12. Law Firm Regulation 20202021: A Year in Review 13. Chapter 13: Individual Regulatory Responsibilities and Reporting PART 4: MANAGING THE CODE OF CONDUCT AND GDPR Introduction 14. Legal Ethics 15. Conflict of Interest 16. Vulnerable Client 17. Equality and Diversity 18. Confidentiality and the GDPR 19. Cybercrime 20. Mortgage Fraud and Anti Money Laundering 21. Managing Client Care and Complaints PART 5: AT YOUR DESK BEGINNING MANAGEMENT 22. At Your Desk Beginning Management Conclusion APPENDIX A Bibliography