NEWS

News and information from the world of
regulatory compliance and risk management

All roads lead to file reviews

All roads lead to file reviews

File and ledger reviews now have an increased significance as a vital compliance tool. They can be used to gauge the quality of work produced by all fee earners as required by Outcome (7.8). Indicative Behaviour (10.1) talks about actively monitoring your achievement...

read more
Legal Ombudsman (LeO) change of address

Legal Ombudsman (LeO) change of address

The Legal Ombudsman (LeO) has changed its postal address to: PO Box 806 Wolverhampton WV1 9WJ You should amend your client care documents and com-plaints policy to reflect this. LeO scans all received post and has changed its scanning provider, hence the change....

read more
Confidentiality and data protection

Confidentiality and data protection

The loss of data whether it is through hacking, leaving briefcases, unencrypted laptops or USB sticks on the train (which even MI5 and MI6 can do) ? can have huge ramifications. Outcome (7.5) requires all law firms to comply with data protection legislation. Firms...

read more
Do you have a compliance plan?

Do you have a compliance plan?

Chapter 7 of the Code of Conduct and Rule 8.2 of the Authorisation Rules require firms to have suitable compliance arrangements. Note (iii) to Rule 8 sets out some examples of what the SRA considers should be covered by a firm's compliance plan. There is no explicit...

read more