Professional conduct and regulation

Ensure your practice adheres to the highest standards with guidance on professional conduct and regulation. Gain insights into maintaining integrity, avoiding pitfalls, and understanding the frameworks that govern legal professionals. Stay informed about obligations, ethical considerations, and compliance to confidently navigate the legal landscape. Equip yourself with the knowledge to uphold the law’s rigorous demands.

View Risk & Compliance by content type:

Latest Risk & Compliance News

Featured Risk & Compliance content

Q&As
Who can certify identification documents (passports, driving licences, utility bills, etc)?Government guidance on Certifying a document states...
Read More >
30th May
Practice notes
Money Laundering Regulations 2017—scope and applicationThis Practice Note sets out the scope and application of the Money Laundering, Terrorist...
Read More >
30th May
Practice notes
Money Laundering Regulations 2017—nominated officerThis Practice Note sets out when organisations must appoint a nominated officer (sometimes referred...
Read More >
30th May
Practice notes
Sanctions regime—RussiaThe Russia (Sanctions) (EU Exit) Regulations 2019, SI 2019/855, made under the Sanctions and Anti-Money Laundering Act 2018...
Read More >
30th May
Practice notes
How to manage legal riskIt is often said that running a business means taking risks and that the biggest risk an entrepreneur can take is not to think...
Read More >
Produced in partnership with Elizabeth Bourlet
30th May
Practice notes
Contract management risk management guideWhy you need to manage this riskContract management is often seen by the business as an activity which is...
Read More >
Produced in partnership with Elizabeth Bourlet
30th May
Precedents
Competition law compliance—post-training assessment answersQuestionCorrect answer1. Competition law protects business and consumers from...
Read More >
30th May
Practice notes
SRA Code of Conduct for Solicitors, RELs and RFLs—for in-house lawyersThis Practice Note provides guidance for in-house solicitors on the SRA Code of...
Read More >
30th May
Precedents
Anti-bribery and corruption—post-training assessment questionsHow to use this testThese questions are designed to test your understanding after your...
Read More >
30th May
Practice notes
How to create a legal risk registerThis Practice Note is intended for in-house lawyers. It explains how to create a legal risk register, a tool that...
Read More >
30th May
Practice notes
Tipping-off and prejudicing an investigationThere are several offences of tipping-off and prejudicing an investigation that apply to the regulated...
Read More >
30th May
Practice notes
Confidentiality risk management guideWhy you need to manage this riskConfidential information is one of the most valuable assets of any business....
Read More >
Produced in partnership with Ishika Patel of Lawyers on Demand
30th May
Precedents
Records retention schedule1Introduction1.1This Record retention schedule accompanies and is incorporated into [insert organisation’s name]’s Records...
Read More >
30th May
Practice notes
Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017—key information for businessesThe Money...
Read More >
30th May
Q&As
Refusing a data subject request—what is ‘manifestly unfounded or excessive’?The General Data Protection Regulation (GDPR) provides for enhanced rights...
Read More >
30th May
Practice notes
Dawn raid—who can raid my organisation and why?The UK Government has legislated to permit a number of UK authorities to obtain search warrants to...
Read More >
Produced in partnership with Michael Potts and Arozo Gajia of PCB Byrne
30th May

Popular documents