The Law and Regulation of Solicitors: Management Skills

Katie Jackson LLB MSc, is a management consultant focused on compliance in legal services and is a former regulator at the Solicitors Regulation Authority and Council for Licensed Conveyancers. Katie is currently an examiner on the Professional Skills Course in Finance and Business for Datalaw, and a course provider for the National Association of Paralegals in Professional Skills. She is also the author of The Law and Regulation of Solicitors: Client Money and The Law and Regulation of Solicitors: Serious Breaches and Practising Certificate Conditions (also published by Bloomsbury Professional).

Part 1 - Law Firm Structure and Management
Introduction
1. SRA Separate Business Rule: Client Care and Freelance Forms of Practice under the SRA Standards and Regulations
Annex A. Separate Business Rule Scenarios - Sample Answers
2. Everyday COLP and COFA
Annex A. COLP and COFA Template RAG/Balanced Scorecard Report
3. Conducting File Reviews – Regulation, Risk Management, and Meeting Standards
4. Strategic Planning in the Legal Services Market Boxes – Added Value Strategy
5. Anti-Money Laundering - How to Develop a Culture of Compliance for Law Firms
6. CLC Regulation and Compliance

PART 2 – RISK MANAGEMENT
Introduction
7. Risk Management
8. Law Firm Audits
Annex A. AML Audit - Risk Assessments
Annex B. AML Audit – Training
Annex C. AML Audit - Policies, Controls and Procedures
Annex D. AML Audit – Governance
Annex E. AML Audit – Reporting
Annex F. AML Audit Overview Management and AML - Balanced Scorecard
Annex G. Example Quality of Advice - Audit Form
Annex H. Example Audit - Customer Service and Satisfaction
9. AML in Scotland – Risk Factors and International Instructions for Law Firms

PART 3 – MANAGING DISCIPLINARY
Introduction
10. SRA Investigations
Annex A. Sample Answer
Annex B. Sample Allegation Answer
11. Always in Fashion: Timeless AML & Compliance for Small Firms and Sole Practitioners
Annex A. Conflict of Interest Wording
Annex B. Example Reconciliation Form
12. Law Firm Regulation 2020–2021: A Year in Review
13. Chapter 13: Individual Regulatory Responsibilities and Reporting

PART 4: MANAGING THE CODE OF CONDUCT AND GDPR
Introduction
14. Legal Ethics
15. Conflict of Interest
16. Vulnerable Client
17. Equality and Diversity
18. Confidentiality and the GDPR
19. Cybercrime
20. Mortgage Fraud and Anti Money Laundering
21. Managing Client Care and Complaints

PART 5: AT YOUR DESK – BEGINNING MANAGEMENT
22. At Your Desk – Beginning Management

Conclusion


APPENDIX A
Bibliography