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30.04.2013 - A Culture of Compliance - How do we effect this?
It has historically been the case that compliance and regulatory issues within law firms and financial institutions has largely been based on a ‘hope for the best’ approach’. However, with the introduction of the SRA Code of Conduct 2011 this will no longer cut the mustard with the change in the rules.
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30.04.2013 - Naming and Shaming - The Painful Cost of Regulatory Failures
Over the course of the last five years, largely as a result of the uncovering of high profile examples of wrongdoing in corporate organisations and partly as a result of public pressure, regulators have responded by turning the spotlight on company directors and senior officers to challenge the corporate decision making process and prevent criminal and civil misconduct.
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18.04.2013 - Understanding Regulatory Risk
For compliance officers to understand their regulatory obligations under OFR it is important for them to understand that the SRA themselves operate within a risk management framework and that the identification and management of risk is central to the achievement of their objectives. 
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08.04.2013 - Prevention better than cure
The SRA Executive Director, Samantha Barrass, has recently spoken on the topic of the financial risks that are facing law firms in the current economic crisis and the need to mitigate these risks in the interests of protecting client interests.
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02.03.2013 - Non- material breaches no longer reportable confirms SRA
Director of supervision, risk and standards at the SRA, Samantha Barrass, confirms that subject to further consultation the SRA no longer intends to make non- material breaches reportable in the annual report. Confirmation of the actual filing date of the report and clear guidance on what is a 'material' breach is still awaited.
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18.03.2013 - COLPs and COFAs search for the OFR solution at Legal IT Show
Attending the Legal IT show last week it became clear that the hot topic on everyone’s lips was how to deal with the sticky issue of compliance under OFR.  After the initial outrage and debate thoughts have turned to what software systems are available and what works for individual firms. Still noticeable though was the fear amongst COLP’s and COFA’s as they continue to search for the right solution for their firm.
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14.03.2013 - COLPs, COFAs and SRA Sanctions – 650 and counting
Following on from the SRA’s warning earlier this year that solicitors who failed to disclose relevant information about their past on compliance officer applications could have their licences removed; and their plans to pursue hundreds of applicants who failed to declare facts such as criminal convictions or a previous bankruptcy, the SRA have now announced that enforcement action has started against almost 650 solicitors or firms that failed to complete their compliance officer nominations properly.
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03.03.2013 - The True Cost of Compliance under Outcome-Focused Regulation

For many law firms the financial cost of dealing with regulatory and compliance obligations is one of their main headaches. Many firms feel overwhelmed and underprepared for the requirements of effective management of a law firm and even after attending the plethora of courses on OFR most COLPs and COFAs have left without the desperately sought after solution.

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07.02.2013 - Saving You Time and Money
‘Time is money’ – so the old adage goes and nowhere is this truer than in the area of legal compliance. The new OFR regime, untested and unknown, is set to costs every UK law firm many thousands of pounds not just in design, training and implementation but in the endless search for a practical solution.
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31.01.2013 - Press Release - Compliance Manager at Legal IT 2013 (Stand 51), Islington on 5th & 6th March 2013
Compliance Manager UK Ltd are to launch version 2 of their new Compliance Manager™ software suite on Stand 51 at this year’s Legal IT show.
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Compliance Manager™ at The LSN Legal Practice Management Conference, London on 21st May 2013.
The only event for practice managers and directors in small to medium law firms.
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A Culture of Compliance Read article

Naming and Shaming Read article

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