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.
The upside of risk, Anti-money laundering and financial crime, Brexit and law firm risk, Conflicts of interests, Professional Indemnity Insurance(PII), SRA Accounts Rules investigations, Data ProtectionDownload
July – time for school sports day. But in the legal world this summer, a different kind of race is being run: the race to the bottom, some would say. First published in the Legal Compliance Bulletin.Download