The Law and Regulation of Solicitors: Management Skills

This book covers a range of materials the author has written and presented for law firms as continuous professional development, since 2014. Covering a wide range of regulatory and compliance subjects, and the detail of the regulatory rules themselves, the texts and materials present the context and expectations of legal regulators in greater detail than available elsewhere. The author's direct experience as a regulatory decision maker provides the backdrop to the guidance provided about the application of the rules. Each section includes material used as CPD, along with activities for the reader to complete to embed their learning.

table of content

Part 1 – Law Firm Structure and Management

1. Separate business rule

2. Everyday COLP and COFA

3. Everyday COLP and COFA

4. File reviews

5. Strategic planning

6. Developing a culture of compliance

7. CLC regulation

 

Part 2– Risk Management

8. Risk management and calculations

 

9. . AML risk

10. Law firm qudit

11. Geographical risk

 

Part 3 – Disciplinary

12. SRA investigations

13. Investigation and enforcement

14. Individual regulatory responsibilities

15. A year in review

 

Part 4 – General CPD

16. Acting in the best interests of the client

17. Client care letters

18. Client confidentiality

19. Legal funding

20. Legal ethics for paralegals

21. Legal ethics for solicitors and other lawyers

22. GDPR and data protection

23. Vulnerable clients

24. Equality and diversity

25. Complaint handling

26. Conflict of interest

27. Mortgage fraud

28. Cybercrime in supply chains