New SRA Notice Warns Against Funds Missing From Client Account
The SRA has published its new Warning Notice (21 June) warns against funds missing from a firm’s client account. The SRA has made it clear shortages will not be tolerated.
Audit
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Is your law firm’s website compliant with the SRA Price Transparency Rules?
If you’re involved in managing compliance at a UK law firm, you’re probably no stranger to the SRA Price Transparency Rules. But just how compliant is your website? In this
The Teal Tracker’s New Feature: Root Cause Analysis Process
The Teal ‘Root Cause Analysis Process’, or ‘RCAP’, is a new, groundbreaking feature of the Teal Tracker. Here we explain what it does, how it works and how it can
Legal compliance issues: Embracing legal compliance for success
In the world of law firms, the mere mention of the “C” word tends to send shivers down the spines of many. Partners and owners alike sometimes choose to bury
What does an AML audit involve?
We love an AML audit and really enjoy reviewing law firms’ policies and procedures to see the different approaches they take in respect of AML. Most of all, we find
Anti-Money Laundering – What to expect from an Independent Audit
Regulation 21 of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (otherwise known as the Money Laundering Regulations) requires that regulated firms
Time to audit data compliance?
We’re nearly a year since the frantic preparations for GDPR. How is it all going? Should we be checking? Should we audit data compliance? Why do I need to complete