Risk management

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Featured Practice Compliance content

Precedents
1DefinitionsModern Slavery Policy•means the Customer's anti-slavery and human trafficking policy as set out in Schedule [insert] as updated by the...
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9th Nov
Practice notes
Source of funds and wealth was a key focus of the SRA’s Preventing Money Laundering and Financing of Terrorism thematic review, published in March...
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9th Nov
Practice notes
This Practice Note provides an introduction to retained EU law, which is an entirely new legal concept introduced to UK domestic law in preparation...
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9th Nov
Precedents
DRAFTING FOR BREXIT: For the latest information on the impact of Brexit on the drafting, negotiation and enforceability of this Precedent, see...
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9th Nov
Precedents
How to use this testThese questions are designed to test your understanding after your attendance at our training on avoiding bribery and...
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9th Nov
Practice notes
The compliance officer for legal practice (COLP) sits at the heart of the firm's regulatory arrangements. This does not mean that the firm and its...
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9th Nov

Most recent Risk management content

Practice notes
This Practice Note reflects advice, guidance and updates issued by the SRA and Law Society on the impact of the coronavirus (COVID-19) on the...
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18th Nov
Practice notes
Lawyers generally have a reputation among business people for being risk averse. In-house lawyers cannot be excessively risk averse—they have to...
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15th Oct
Precedents
Please click for the Precedent risk register.Please note that this register has been prepared in Excel and it therefore cannot be downloaded to...
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6th Oct
Q&As
From time-to-time (particularly during the current holiday season), large and/or busy departments need to engage locums to provide cover. Ensuring...
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28th Sep
Practice notes
Our practice note: Formulating a risk management policy sets out how you might do this. This practice note identifies some common risks facing law...
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27th Sep
Precedents
How to use this testThese questions are designed to test your understanding after your attendance at training on our risk management procedures.After...
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26th Sep
Precedents
QuestionCorrect answer1. What is a risk? (c) The possibility of an adverse/unwelcome outcome2. How do we identify risk? (a) Using all available...
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26th Sep
Precedents
Name of firmName of role holderReports toRole type☐ Full-time☐ Part-time☐ ContractorIf a contractor role, length of contractPrimary locationDate role...
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26th Sep
Precedents
A: General informationDate of reviewPerson(s) conducting reviewB: Review and findingsAre your risk management policy and procedures up to date and fit...
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26th Sep
Precedents
1Introduction1.1Risk management is central to the regulatory regime under which we operate. [Insert name of firm] is committed to ensuring effective...
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26th Sep
Precedents
1GeneralDate of audit[Insert date of audit]Person completing audit[State name and position of person completing audit]2External risksComplete the...
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26th Sep
Precedents
Risk scorecardProbability ratingScoreLikelihood of risk materialisingBenchmark1Very lowOnly expected to occur in exceptional circumstances[Up to [10]%...
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26th Sep
Precedents
The purpose of this questionnaire is to identify potential business risks. Please spend no more than [insert time eg 30 minutes] completing this form...
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26th Sep
Precedents
1Overall risk appetite[Insert organisation name] has a [low OR medium OR high] risk appetite overall. [Insert organisation name] will act in...
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26th Sep
Precedents
1General informationReview period[Insert review period]Date of review[Insert date]Person(s) conducting review[Insert name(s)]2ComplaintsNumber of...
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26th Sep
Precedents
The purpose of our presentation is to train your staff on your risk management policy and to communicate risk information to staff.The training...
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26th Sep
Precedents
A: General informationDate of review[insert date]Person(s) conducting review[insert name]B: Review and findingsIs your Risk register up to...
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26th Sep
Precedents
Please complete and email this form to the [[insert details of person nominated to receive risk reports]].If you wish to make an anonymous report, you...
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26th Sep
Practice notes
Risk management is a cornerstone of a firm's governance, culture and business strategy. It requires the application of principle to specific...
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25th Sep
Practice notes
A risk management policy outlines the risks posed to a business and provides a set of actions to be taken to both prevent the risk from occurring and...
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25th Sep

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