Opinion

Are you confident that everyone at your organisation takes compliance seriously?

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.