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Book Details
Abstract
Regulation, compliance and ethics are the three common features of all well-run law firms. Without an understanding of regulatory expectations, compliance duties and ethical behaviours, a firm runs the risk of censure, adverse publicity, and client dissatisfaction.
It is essential that law firm owners and managers acknowledge and have strategies to accommodate risk management, regulatory and legal compliance and ethical values in their business. They must also have a common understanding as to how this will be achieved. This guide is intended to provide lawyers with the language, arguments and practical solutions which are needed to make this happen.
Table of Contents
| Section Title | Page | Action | Price |
|---|---|---|---|
| Title Page | 1 | ||
| Copyright Page | 2 | ||
| Table of Contents | 3 | ||
| Preface | 5 | ||
| Section 1: Governance and risk management | 9 | ||
| Introduction | 9 | ||
| Chapter 1: Effective law firm management | 11 | ||
| Section 2: Demonstrating regulatory compliance in practice | 79 | ||
| Introduction | 79 | ||
| Chapter 2: What is ethics? | 87 | ||
| Chapter 3: Essential behaviour | 91 | ||
| Chapter 4: Evidence of compliance | 121 | ||
| Chapter 5: Safe client inception processes | 127 | ||
| Chapter 6: Compliance in the litigation arena | 137 | ||
| Chapter 7: Adding the people and commercial perspective to regulatory standards | 153 | ||
| Chapter 8: The Legal Ombudsman – why are we bothered? | 159 | ||
| Section 3: Compliance with legal obligations | 169 | ||
| Introduction | 169 | ||
| Chapter 9: An overview of legal compliance | 173 | ||
| Chapter 10: Managing the money laundering risk | 181 | ||
| Chapter 11: Managing the risks of handling data | 201 | ||
| Section 4: Compliance tools and resources | 209 | ||
| Introduction | 209 | ||
| Chapter 12: Be aware of changes | 213 | ||
| Chapter 13: Conclusion | 219 | ||
| Chapter 14: Resources | 227 | ||
| Notes | 229 | ||
| About the author | 233 | ||
| Index | 235 |