Archives: Conduct, practice and risk management

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Undertakings – development

September 2021 | Conduct, practice and risk management

We report in this edition on an SC case which considered the significance of an undertaking given by someone working for an LLP rather than a traditional solicitor’s partnership (see Undertakings – SC decision (p29)). It therefore seems appropriate to recap on the development of undertakings. We covered this topic in our April 2020 edition …

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AML – SRA enforcement

July/August 2021 | Conduct, practice and risk management

We reported in our February 2021 edition (p3) on the long-awaited LSAG guidance on the 2017 Money Laundering Regulations. Practitioners should note that the SRA has recently published details of fines that it has issued against firms for failure to comply with AML responsibilities. Firms which fall within the ambit of the 2017 Regulations must …

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