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Regulation and In-House Lawyers is a resource for SRA regulated
lawyers working in-house for organisations which are not authorised
by the SRA. This second edition has been updated to reflect the
major regulatory changes introduced by the SRA Standards and
Regulations in November 2019. The book explains the changes and
their significance to in-house lawyers in particular, and provides
guidance on regulatory compliance. It also covers key legislation
such as the Money Laundering Regulations 2017, the Criminal
Finances Act 2017, the EU General Data Protection Regulation and
the Data Protection Act 2018, as well as recent Solicitors
Disciplinary Tribunal decisions. Additional material has been added
to this new edition which will help lawyers to demonstrate
compliance in practice through systems, controls and policies,
including templates which can be used by practitioners to create
compliance manuals.
Compliance and Ethics in Law Firms provides guidance on SRA
regulations for non-lawyers working in law firms and for those who
are responsible for ensuring that they comply with the SRA's rules
(such as COLPs, COFAs and learning and development professionals).
There are regulatory and legal consequences both for these
individuals and for their firms if they fail to demonstrate the
correct behaviours. It is therefore essential that everyone who
works in a law firm understands the compliance and ethical
requirements of SRA regulations. The second edition of this book
has been updated to aid compliance with the SRA Standards and
Regulations, which replaced the SRA Handbook in November 2019, as
well as relevant tribunal decisions. The text has been revised to
take account of the Money Laundering Regulations 2017, the Criminal
Finances Act 2017, the EU General Data Protection Regulation (GDPR)
and the Data Protection Act 2018. These changes are of great
significance and this edition will explain them and provide the
reader with a toolkit of regulatory and ethical knowledge which can
be applied to their specific circumstances.
Every year firms close for a variety of reasons, including sale or
merger, but what happens if you haven't prepared to exit the
market? The Solicitors Regulation Authority (SRA) has stressed the
need for firms to have an exit strategy in place to prepare for
this eventuality, meet regulatory requirements and good practice
standards, and avoid potential fines. The Exit Strategies Toolkit
contains a mixture of commentary, procedural checklists, such as a
notification checklist, draft policies and precedents, including
sample letters to PI insurers and the SRA, to help you to prepare
for this eventuality.
In-house practice is an increasingly popular career choice, both
for new entrants to the profession and for individuals moving away
from traditional private practice. The opportunities are exciting
but the challenges of being a regulated individual in a different
environment should not be underestimated. In-house counsel must be
able to identify and comply with the non-negotiable regulatory and
ethical duties expected of them by the Solicitors Regulation
Authority. Whereas private practitioners have the benefit of safety
in numbers in a team environment with common professional
objectives, this is not automatically the case for in-house
counsel. The latter might be used as the ethical voice or heartbeat
of their organisation, but it is not uncommon for them to be
regarded as the facilitators of advice about how to find ways round
obstacles, or to shoulder the blame if there is criticism. Being an
in-house solicitor requires an understanding of tensions that might
not exist in private practice and knowing when to challenge
inappropriate behaviour. This book provides guidance on essential
regulatory and ethical knowledge. The challenges of in-house
practice are discussed with commentary on the tensions that might
exist such as when the business is global or when business risks
are not managed properly. There is analysis of team leader
responsibilities and a discussion of the pinch points of being
employed as lone lawyer. It also contains contributions from
thought leaders and experts, and case studies and examples of
disciplinary action are used to support your understanding of this
essential topic.
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