Law and Regulation of Solicitors: Management Skills

Drawing on the author’s direct experience as a regulatory decision maker and her subsequent time teaching legal services professionals, The Law and Regulation of Solicitors: Management Skills brings together a broad range of materials based on research and presentations from continuous professional development for law firms. Encompassing a wide range of regulatory and compliance subjects, the texts and materials present the context and expectations of legal regulators such as the SRA and CLC in an easily referenceable format. Each section covers material on different management subjects intended to be used by senior and aspiring management in law firms. With reference to key legislation in the regulation of solicitors and other lawyers; example policies featured within the texts; and an extensive range of template internal AML audits; the book is an important reference guide for those running a law firm. There is a wide range of learning activities in each section which readers can use within their law firm to develop staff understanding of ethics, regulation, and compliance in legal services; reflecting the range of knowledge that regulators expect law firms to be able to demonstrate. The book references the primary regulatory system of the SRA, with specific examples of their supervisory practice, including how to respond to an SRA investigation. Those regulated by the CLC will find an authoritative chapter on the legislation underlying their regulation and supervision. This is an essential manual for the necessary management skills required for legal professionals, management, COLPs and COFAs in law firms, as well as solicitors, barristers, licensed conveyancers and paralegals.