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Introduction

This online bundle brings together 7 of the most important areas of compliance for law firms.

Each online module is delivered in bite-sized slots of 30 minutes to an hour and will cover the key messages - and warning signs.

Presented by Keith Markham and Trevor Hellawell this is the ideal way for you and your colleagues to keep up to date with all the latest developments in legal compliance.

Agenda

The modules covered are as follows:

Module 1 - Anti-Money Laundering - 30 Minutes

With the amendments brought by the 2019 Regulations, the SRA are cracking down on our AML compliance to see how far we have got as a profession in their implementation. The question now is - 'what do I need to do, exactly?'.

With little changing as far as the clients are concerned what are the key alterations that you need to import into your procedures to ensure you are alert to the ongoing risks?

This module will cover the following:

  • The overall legislative framework
  • The key extra steps required by the 2017 Regulations
  • Key extra refinements to accord with the 2019 Regulations
  • The key points in detecting fraudsters and money launderers

Module 2 - Conflicts and Confidentiality - 30 Minutes

Conflicts and confidentiality remain as cornerstones of the ethical codes to be observed by SRA.

This session will revise and review the following issues:

  • What is a conflict?
  • When you can act in such a situation
  • What does ‘acting’ for a party really mean?
  • What is informed consent?
  • What is confidential?
  • How do you reconcile confidentiality with disclosure?
  • How is it breached?
  • When can you act in compromised situations?

Module 3 - General Data Protection Regulation - 1 Hour

This session reviews a series of key issues that arise from the GDPR and sets out a series of practical steps to be taken in response.

The following topics will be addressed:

  • The ‘accountability’ principle and what it means in practice
  • Provision of information using privacy statements
  • Consent and its alternatives
  • Security breach management
  • Role of the data protection officer
  • Enforcement examples
  • Compensation examples

Module 4 - SRA Accounts Rules 2019 - 30 Minutes

The 2019 Accounts are considerably shorter than before - so what has changed?

This session will explore:

  • The key inclusions in the new 2019 Rules
  • How to deal with various types of costs payments
  • Other rules that have been deleted
  • The increased importance of the COFA's role
  • What do you need to do to ensure ongoing compliance?

Module 5 - Equality, Diversity & Inclusion - 30 Minutes

This session will explore the various implications of the rules for law firms and will cover:

  • The key principles behind E, D & I
  • The legal implications of equality law for firms
  • How to extract the data from staff
  • The effect of social media

Module 6 - The SRA Standards & Regulations: A New Regulatory Regime - 30 Minutes

The SRA has now imposed its long-waited Standards and Regulations on the profession.

They include a relenting of the regulatory obligations on law firms - offering you a choice of remaining subject to SRA regulation or contemplating reconfiguring yourself along any one of 9 different optional paths which offer a range of alternatives to the current regime.

This session will cover:

  • The new regulatory regime for 2020
  • The opportunities for practice
  • The costs of relinquishing SRA regulation
  • The upsides for practice

Module 7 - Anti-Bribery - Key Issues & Red Flags - 30 Minutes

The Bribery Act 2010 had much impact when it was introduced but how has it fared in practice?

  • The key definitions and concepts in the Act
  • Recent developments and refinements
  • Key things to bear in mind
  • Internal policies and precautions
  • What do you do about gifts and incentives - as well as the more serious attempts at corruption?
  • Can you still accept gifts from grateful clients or is that dangerous?
  • What do you do if you spot improper payments to or from other staff members?
  • Similar procedures to tackle tax evasion in Criminal Finances Act 2017

This webinar was recorded on 10th June 2020

Quick Quiz - Test Your Knowledge: Money Laundering

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