Guest speaker Niel Dethick on the four Consumer Duty outputs as defined by the FCA.
In this week’s Compliance for Law Firms session, with Steve Brett and Kate Burt, Steve lead a workshop covering the types of questions raised by the business and what strategies can be deployed to maximise the impact of the compliance team in the firm to support building the compliance culture within the constraints of the team resources.
This week’s compliance for Law firms session was a very popular one. Steve Brett & Kate Burt were joined by guest speaker Ian Quayle, discussing registration of overseas entities.
In our last week’s Compliance for Law Firms session with Steve Brett & Kate Burt, there was a panel discussion on the good, the bad and the ugly of file audits and approaches that different firms have taken to drive effective file audits.
The Legal Sector Affinity Group (LSAG) has published its Anti-Money Laundering guidance for the Legal Sector which aims to 'aid... compliance and to effectively protect against Money Laundering and Terrorist Financing risks'.
The Financial Conduct Authority (FCA) estimates that 27.7 million adults in the UK are in circumstances that could make them vulnerable. In our last week’s session for ‘Compliance for financial services’, a great topic was discussed: FCA regulations on vulnerable customers. This was led by our guest speaker Helen Pettifer, Vulnerable Customer Expert along with the hosts Steve Brett and Kate Jones
In this week’s Compliance for Law Firms session, Steve Brett and Kate Burt were joined by guest speaker Ian Quayle, to explore some of the most common causes of complaints and negligence claims in residential conveyancing.
In this week's Compliance for Law Firms session, Steve Brett and Kate Burt, spoke about the differences between a healthy and toxic compliance culture and what firms can do to improve.
Is negotiation a core Compliance Skill? What are the actionable skills you need in a compliance team?
What is it and how can we use this approach to improve our L&D initiatives?
Another informative Compliance for law firms session with Steve, Kate and Colin Taylor, Director of Howden Insurance Brokers Limited.
Compliance for law firms call – Changes to LSAG guidance
Last month we collaborated with Trussle Mortgages to create a custom course for their team on "Breaches"
Last Friday, Steve Brett, co-founder of E3 Compliance Training proudly received his Queen's Platinum Jubilee Medal through his work as an operational member of Mountain Rescue. These medals are a recognition of the work done by a wide range of emergency responders in the UK such as the Police, Ambulance, Coastguard and RNLI.
Last week during our "compliance for financial services" call, we discussed: What does ESG mean for compliance teams?
The use of data in L&D
Know Your Customer and Anti Money Laundering is the latest hot topic in our "Compliance for Law Firms" weekly sessions
Westmorland Law Society & X-Press Legal Services host property event
At this week's Compliance For Law Firms session, Kate Burt presented a session exploring the impact of recent clarification from the Law Society on Chinese Underground banking. If you don't know, underground banking is where informal networks are used to move money outside the traditional banking network, usually based on the trust of parties in different jurisdictions. These networks are problematic for both law enforcement and regulators as they result in the intermingling of legitimate funds and the proceeds of criminal activity.
The International Compliance Association partners with E3 to enhance risk management solutions for clients.