In-house Lawyers' Risk and Compliance Questions and Answers

Through a series of questions and answers, this book will assist solicitors employed by non-solicitor employers to understand and manage their regulatory and ethical duties. It provides expert advice on some of the most common issues that are likely to arise for the in-house lawyer.

Key areas covered include:

• the relationship with their employer, SRA and other external stakeholders
• professional ethics
• conflicts of interest
• practice rights for solicitors, RELs and RFLs
• confidentiality
• the SRA Standards and Regulations
• providing services to the public
• data protection
• client care, and
• duties to the court

Each question and answer provides a clear description of the area, detailing numerous helpful resources and sharing valuable compliance tips. This book is an essential companion for all in-house solicitors. Written in an accessible style, it can be dipped into as required, read cover to cover or used as a basis for training.

table of content

Part 1 – The in-house lawyer’s relationship with the SRA and other external stakeholders

1. Relationship with the SRA and other external stakeholders 2. Practice rights – solicitors, registered European lawyers and registered foreign lawyers

 

Part 2 – Regulatory and ethical duties

3. SRA standards and regulations – an overview 4. SRA principles 5. Conflicts of interest, confidentiality and disclosure 6. Undertakings 7. Duties to treat others fairly 8. Equality, diversity and inclusion 9. Duties to the court 10. Introductions, referrals and separate businesses

 

Part 3 – The in-house lawyer’s relationship with their employer

11. Relationship with the employer 12. Professional duties and client considerations 13. Supervision

 

Part 4 – Other considerations

14. Other considerations