The Law and Regulation of Solicitors: Management Skills

Erscheinungsjahr 2024
ISBN: 978-1-5265-2457-7
Verlag: Bloomsbury Academic

Buch, Englisch, 616 Seiten, Paperback, Format (B × H): 152 mm x 246 mm, Gewicht: 1080 g

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.

Autoren/Hrsg.

Jackson, Katie

Fachgebiete

• Rechtswissenschaften Ausländisches Recht Common Law (UK, USA, Australien u.a.)

Inhaltsverzeichnis

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 2020-2021: 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

Über Autor(innen)

Jackson, Katie
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.

Katie Jackson LLB MSc, is a management consultant focused on compliance in legal services and is a former regulator at the Solicitors Regulation Authority and Council for Licensed Conveyancers. Katie 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 the author of The Law and Regulation of Solicitors: Client Money and The Law and Regulation of Solicitors: Serious Breaches and Practising Certificate Conditions (also published by Bloomsbury Professional).