We advise law firms on complying with their professional obligations. We defend disciplinary proceedings and SRA investigations.
We advise on negotiating the regulatory maze, including Alternative Business Structures and regulatory aspects of Practice structure, including regulation of in-house practice and international offices.
We advise on AML/CFT, financial sanctions, AML risk assessment, policies and procedures, legal advice on suspicious activity reporting, Production Orders and other financial crime investigations requests as well as providing in-house training.
We advise on difficult questions on which GCs, MLROs, COLPs and COFAs need immediate privileged advice, including reporting obligations to SRA, NCA or insurers.
We defend claims, we handle policy coverage disputes, we advise on insurance issues such as block notification and successor practice issues.
We advise on risk management and loss prevention programmes, including money laundering risk assessment. We undertake risk audits of a firm’s compliance.
First published in Solicitors Journal.Download
Compliance is sometimes dismissed as ‘an operational issue of the second order’. But it’s actually much more than that. First published in the Legal Compliance Bulletin.Download