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Conflicts and Confidentiality for Law Firms

Our Price: £129.00 
Author(s): Calvert, Tracey;
Classification(s): Legal profession: general; Legal skills & practice;
Readership / Audience Level: Professional & Vocational
ISBN-13: 9781783580453
ISBN-10: 1783580453
Publication Date: 28 Jun 2013
Imprint: Ark Group
Availability: In Print
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Publisher: Ark Group
Publication Country: United Kingdom
Binding / Product Type: Paperback
Pages: 100
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Failure to handle potential conflicts and confidentiality issues effectively is one of the most common sources of client dissatisfaction. Getting this wrong can not only damage your client relationships, but also lead to legal/regulatory action, professional indemnity implications, and loss of reputation. Managing Partner's report on Conflicts and Confidentiality for Law Firms examines the key factors that must be taken into account in order to develop effective systems and controls for your firm. It gives critical guidance on how to reduce relationship threatening conflicts and ensure that risks are identified and dealt with quickly and effectively at both a strategic and operational level. Practical guidance, case studies, and examples are provided on: How to manage your clients' expectations; Your requirements according to The SRA Handbook; The overlap with client care and other conduct duties; What the SRA will expect to see in terms of systems and controls; High risk situations including fee earners moving firms and firm mergers; and The risks relating to certain practice areas, business models, and SRA level 1 risks (a sample risk register is included).Plus, a step-by-step framework on how to health-check your firm's compliance systems and review the suitability of its policies and methods is included. Featured case studies include: A practical assessment of the compliance initiatives at FCB Manby Bowdler LLP; and an insight from Andrew Cheung (Dentons LLP) on the challenges presented by geographical and jurisdictional issues (a level 1 risk identified in the SRA Risk Index). Example scenarios are also included from IBB Solicitors highlighting the potential issues in relation to conflicts and confidentiality and how they can be identified and dealt with successfully.

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Author Biography

TRACEY CALVERT is a lawyer who has worked in the law since 1985. She initially worked in a niche shipping law practice in the City of London, specialising in non-contentious work, and was then employed by a local authority in Worcestershire before joining the Law Society in 1997. Tracey was recruited as an ethics adviser in the Professional Ethics guidance team and became a senior ethics adviser in 2003. Her responsibilities in this role included the training and quality assurance of this highly popular and successful team, which provided confidential guidance to members of the profession on all aspects of conduct. Tracey has also accepted secondments to the Law Society/SRA professional indemnity team and as a manager of the casework and operational policy team, dealing with admission, character and suitability issues. In 2009, she took up her final role within the SRA, joining the policy team. She was a member of a very small team which drafted the SRA Handbook and her particular responsibilities were in respect of the new SRA Code of Conduct and the rules in the 'Specialist Services' section of the Handbook. Tracey's particular interests are conduct, equality and diversity development, financial services, and anti-money laundering policy. During her time at the SRA she has drafted many rules, guidance and articles, and has engaged in many stakeholder activities, both generally and in respect of the SRA Handbook. Tracey is the director of Oakalls Consultancy Limited which provides regulatory compliance services to individuals and entities regulated by the SRA. She lectures on professional conduct, financial services and anti-money laundering policies, and also provides compliance training and writes on compliance topics.

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