Compliance News e-newsletter

Compliance News is our e-newsletter for compliance officers. COLPs and COFAs are emailed the newsletter automatically.

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Issue 30 - February 2019

Featuring: Compliance News – have your say!, Our new Enforcement Strategy, and when you should report, Enforcement in Practice – topic guides on key issues, Price and services transparency - are you up to date?, Save the date as we head back to the ICC for one of the largest events in the legal calendar, and Debt recovery work scam warning.

Issue 29 - November 2018

Featuring: Price transparency, Conference 2018 – secure your place!, Financial services, OPBAS review, No-deal Brexit, and SQE launch and cost.

Issue 28 - September 2018

Featuring: Conference 2018 – secure your place!, Practising certificates, Due diligence, Frozen assets review, Ethics Guidance helpline, and Holiday sickness warning notice.

Issue 27 - June 2018

Featuring: Looking to the future – Handbook, Looking to the future – Better information, Compensation Fund and PC fees, Fees calculator, Consumer credit work, and Payment protection insurance claims.

Issue 26 - April 2018

Featuring: Conference 2018 – save the date!, Client financial protection, Risk Outlook, Money laundering and the new regulations, Penalties for tax evasion enablers, and PPI work.

Issue 25 - January 2018

Featuring: Mandatory AML data collection, Personal injury work, First-tier complaints, Cybercrime – are you safe?, Continuing competence, and Support for those working with younger clients.

Issue 24 - December 2017

Featuring: Anti-money-laundering regulations, Third-party-managed accounts, SQE regulations, Compliance officer conference, Business plan, and Improving diversity.

Issue 23 – September 2017

Featuring: Conference 2017, Practising certificate renewals, Holiday sickness, Offensive communications, Firm authorisation, and PPI claims.

Issue 22 – August 2017

Featuring: AML regulations – update, Conference 2017 - book your place!, PC renewals, 2017, Questionable investment schemes, Risk Outlook, and Diversity data collection.

Issue 21 – February 2017

Featuring: Financial activities, Solicitors and criminal charges, Cybercrime, Anti money laundering campaign, Asylum report, and Data protection.

Issue 20 – November 2016

Featuring: Compliance officer conference, Investment schemes warning notice, Legal aid applications, Decision-making guidance, Continuing competence, and Bogus firms.

Issue 19 – September 2016

Featuring: Book now – Compliance Officers Conference 2016, PC renewals, Indemnity insurance, Regulatory reform, Risk Outlook, and Bogus firms.

Issue 18 – July 2016

Featuring: Radical reform proposals launched, Fee determinations, Compliance officers conference 2016, Trust and the market, Continuing competence, and Changes to PII minimum terms and conditions.

Issue 17 – May 2016

Featuring: Continuing competence, Compliance Conference 2016: Have you saved the date? , Firm database, Risk Outlook, spring update, Developing the next Handbook, and Scams.

Issue 16 – March 2016

Featuring: Save the date! Conference 2016, Consumer credit, Risk Outlook, spring update, Registrar of Consultant Lobbyists, Continuing competence, and Innovation conference.

Issue 15 – September 2015

Featuring: A question of trust, Annual COLPs and COFAs conference, Professional indemnity insurance renewal, Practising certificate renewal, Diversity data reminder, and Accounts Rules.

Issue 14 – July 2015

Featuring: Making it easier to do business, Share your view: Consumer credit ,

Issue 13 – June 2015

Featuring: Diversity data reporting arrangements, Compliance officer conference 2015, Regulatory reform: Consultation, Regulatory reform: Small firms, Handbook versions 13 and 14, and Cybercrime.

Issue 12 – March 2015

Featuring: Anti money laundering round-up, PCRE 2014/15, Dixit Shah injunction, Sole practitioners, Banking scams, and Client confidentiality.

Issue 11 – January 2015

Featuring: Compliance officer conference, Small firms discussion paper, Client account usage, Anti-money laundering, Reporting diversity data, and Corporate strategy.

Issue 10 – November 2014

Featuring: The key to compliance: places still available, Version 12 of the Handbook, Accountants' reports, Risk Outlook gets autumn update, Professional indemnity insurance: clarifying the position, and Position statement on CPD.

Issue 9 – September 2014

Featuring: Regulatory reform agenda: Recent Board decisions , Professional indemnity insurance: Update, PII: Call for evidence, PII: Your obligations, Beware of supplier fraud, and Keeping sensitive information secure.

Issue 8 – July 2014

Featuring: Our reform agenda, More changes aim to reduce regulatory burden, Response to Independent Comparative Case Review, Workforce diversity data, Diversity monitoring statistics 2013, and Changes to education and training regulations.

Issue 7 – April 2014

Featuring: Consumer credit changes in new Handbook version, Plans to review our approach to MDPs, Have you provided your workforce diversity data?, Support for firms impacted by legal aid cuts, Reminder about complaints procedures, and Recording and reporting breaches: Helpful examples.

Issue 6 – March 2014

Featuring: Consolidation in the legal services market, Cybercrime and its potential impact on law firms, Risk Outlook: Spring 2014 update, Research shows financial difficulty impacts on clients, Extended Policy Period: Regulatory obligations, and Government response to Transforming Legal Aid.

Issue 5 – January 2014

Featuring: How robust are your recruitment processes?, Confidentiality of client data: Are you at risk?, Question of ethics: Fixed fees and agreed fees, Workforce diversity data collection, and SRA priorities for 2014.

Issue 4 – November 2013

Featuring: Risk Centre publishes "must-read" resources, Responsibilities of managers, COLPs, COFAs, Appointing COLPs and COFAs, Warning notice on referrals, and Law firms conducting consumer credit work.

Issue 3 – September 2013

Featuring: Financial stability update, Referral fee ban, Financial rating of qualifying insurers, Case studies: Duty of confidentiality, and Changes to consumer credit regulation.

Issue 2, July 2013

Featuring: Financial stability update, Changing your COLP or COFA , Risk severity survey, Practising Certificate Renewals 2013 and reporting requirements, and Compensation Fund.

Issue 1, May 2013

Featuring: Welcome to Compliance News, Referral fees – after the ban, Red Tape Initiative 2, Interventions and the Compensation Fund, Financial stability, and PAYE.

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