Compliance And Ethics In Law Firms

Author : Tracey Calvert
Publisher : Unknown
Page : 0 pages
File Size : 52,6 Mb
Release : 2015
Category : Compliance auditing
ISBN : 1784460346

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Compliance and Ethics in Law Firms by Tracey Calvert Pdf

"One of the key features of outcomes-focused regulation is the expectation that everyone working in a law firm will demonstrate ethical and professional behaviours. The principles of the SRA Code of Conduct 2011 underpin all aspects of practice. Not only do solicitors need to be aware of their professional conduct duties, but all other members of the firm, regardless of job title or qualifications, must also understand the principles.Getting this wrong can not only damage a firm's client relationships, but it can also lead to legal/regulatory action, professional indemnity implications, and loss of reputation. [This] is a practical book which can be used by everyone who works in a law firm, as it provides both a useful reminder of essential requirements for solicitors and an introduction to conduct, ethics and compliance obligations for non-legally trained members of the firm."--Back cover.

Author : Tracey Calvert
Publisher : Unknown
Page : 245 pages
File Size : 49,5 Mb
Release : 2020-07-31
Category : Electronic
ISBN : 1787423786

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Regulation, Compliance and Ethics in Law Firms by Tracey Calvert Pdf

This second edition has been updated to reflect the replacement of the SRA Handbook with the new regulatory toolkit, the SRA Standards and Regulations, in order to help lawyers acknowledge and develop strategies to accommodate risk management, regulatory and legal compliance and ethical values in their business.

Author : Tracey Calvert
Publisher : Law Society Publishing
Page : 0 pages
File Size : 55,6 Mb
Release : 2019
Category : Compliance
ISBN : 1784461156

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Compliance and Ethics in Law Firms by Tracey Calvert Pdf

Author : Brooke Wunnicke
Publisher : John Wiley & Sons
Page : 492 pages
File Size : 43,7 Mb
Release : 1987
Category : Law
ISBN : STANFORD:36105043966667

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Ethics Compliance for Business Lawyers by Brooke Wunnicke Pdf

This treatise provides a practical reference to the business lawyer's most frequent ehtical questions. It will allow you to recognize actual and potential areas of conflict in ethical problems and provide you with some suggested means of avoidance.

Author : Babak Boghraty
Publisher : Aspen Publishing
Page : 931 pages
File Size : 45,7 Mb
Release : 2023-02-01
Category : Law
ISBN : 9781543840292

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Organizational Compliance and Ethics by Babak Boghraty Pdf

Organizational Compliance and Ethics, Second Edition is designed to teach how to assess corporate legal risk as a quantifiable value that can be compared to other risks across a business enterprise and mitigated through various tools. Students learn how to 1) evaluate the potential financial consequences of a federal investigation or enforcement action; 2) build an effective compliance program tailored to a corporation’s operations; and 3) create a business ethics program that enhances corporate performance. New to the Second Edition: Updated cases and materials New “Test Your Knowledge” hypotheticals at the end of each Part More streamlined presentation Added new section covering supply chain due diligence Benefits for instructors and students: Well organized and easy to read Imparts highly marketable legal skills Emphasizes the practical application of legal theories and concepts Integrates business ethics into compliance and risk management

Author : Alice Woolley,Richard Francis Devlin,Brent Cotter,John M. Law
Publisher : Unknown
Page : 853 pages
File Size : 48,7 Mb
Release : 2017
Category : Legal ethics
ISBN : 0433490306

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Lawyers' Ethics and Professional Regulation by Alice Woolley,Richard Francis Devlin,Brent Cotter,John M. Law Pdf

Author : American Bar Association. House of Delegates,Center for Professional Responsibility (American Bar Association)
Publisher : American Bar Association
Page : 216 pages
File Size : 41,6 Mb
Release : 2007
Category : Law
ISBN : 1590318730

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Model Rules of Professional Conduct by American Bar Association. House of Delegates,Center for Professional Responsibility (American Bar Association) Pdf

The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.

Author : Banks and Banks
Publisher : Wolters Kluwer
Page : 1886 pages
File Size : 50,9 Mb
Release : 2020-06-19
Category : Electronic
ISBN : 9781543823714

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Corporate Legal Compliance Handbook, 3rd Edition by Banks and Banks Pdf

Corporate Legal Compliance Handbook, Third Edition, provides the knowledge necessary to implement or enhance a compliance program in a specific company, or in a client's company. The book focuses not only on doing what is legal or what is right--the two are both important but not always the same--but also on how to make a compliance program actually work. The book is organized in a sequence that follows how to approach a compliance program. It gives the compliance officer, consultant, or attorney a good grounding in the basics of compliance law. This includes such things as the rules about corporate and individual liability, an understanding of the basics of the key laws that impact companies, and the workings of the U.S. Sentencing Guidelines. Successful programs also require an understanding of educational techniques, good communication skills, and the use of computer tools. The effective compliance program also takes into account how to deliver messages using a variety of media to reach employees in different locations, of different ages or education, who speak different languages. Note: Online subscriptions are for three-month periods.

Author : Richard Moorhead,Steven Vaughan,Cristina Godinho
Publisher : Bloomsbury Publishing
Page : 393 pages
File Size : 50,6 Mb
Release : 2018-11-29
Category : Law
ISBN : 9781509905935

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In-House Lawyers' Ethics by Richard Moorhead,Steven Vaughan,Cristina Godinho Pdf

This book provides an empirically grounded, in-depth investigation of the ethical dimensions to in-house practice and how legal risk is defined and managed by in-house lawyers and others. The growing significance and status of the role of General Counsel has been accompanied by growth in legal risk as a phenomenon of importance. In-house lawyers are regularly exhorted to be more commercial, proactive and strategic, to be business leaders and not (mere) lawyers, but they are increasingly exposed for their roles in organisational scandals. This book poses the question: how far does going beyond being a lawyer conflict with or entail being more ethical? It explores the role of in-housers by calling on three key pieces of empirical research: two tranches of interviews with senior in-house lawyers and senior compliance staff; and an unparalleled large survey of in-house lawyers. On the basis of this evidence, the authors explore how ideas about in-house roles shape professional logics; how far professional notions such as independence play a role in those logics; and the ways in which ethical infrastructure are managed or are absent from in-house practice. It concludes with a discussion of whether and how in-house lawyers and their regulators need to take professionalism and professional ethicality more seriously.

Author : Nitish Singh,Thomas J. Bussen
Publisher : Praeger
Page : 0 pages
File Size : 54,6 Mb
Release : 2015-03-10
Category : Business & Economics
ISBN : 9781440833113

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Compliance Management by Nitish Singh,Thomas J. Bussen Pdf

This practical guide shows how to build an effective compliance and ethics program that will lower a business's risks and improve productivity. Research increasingly supports the notion that ethical, compliant businesses see increased productivity across a range of measurements. This practical guide tells business professionals, business and law students, and other interested parties exactly how that goal can be achieved. The book covers an extensive range of ethics-compliant laws and regulations impacting businesses today and identifies critical factors for successful compliance programs. Going well beyond works that speak in general terms about compliance-based actions, this unique volume delves into details about specific regulatory issues and the steps that can be taken to mitigate risk. The first half of the book shares general guidelines for creating or improving internal compliance and ethics programs. The second half identifies specific, high-risk regulatory areas; provides an overview of relevant laws; and sets forth best practices specific to the regulations discussed. By providing a simplified understanding of compliance with laws related to issues such as antitrust, international business, wages and labor, Health Insurance Portability and Accountability Act (HIPAA) and health care, the environment and more, the guide offers readers the tools necessary to improve an existing compliance program or create a new program where none has existed before.

Author : Joseph E. Murphy,Joshua H. Leet
Publisher : Unknown
Page : 197 pages
File Size : 53,5 Mb
Release : 2007
Category : Business ethics
ISBN : 0979221005

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Building a Career in Compliance and Ethics by Joseph E. Murphy,Joshua H. Leet Pdf

Author : Shari L. Klevens,J. Randolph Evans,Alanna G. Clair
Publisher : Unknown
Page : 0 pages
File Size : 55,8 Mb
Release : 2013
Category : Lawyers
ISBN : 1576257185

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The Lawyer's Handbook by Shari L. Klevens,J. Randolph Evans,Alanna G. Clair Pdf

The Lawyer's Handbook: Ethics Compliance and Claim Avoidance provides an easy-to-use practice management tool for fast-paced, round the clock law practice in a format that ensures compliance with applicable ethics rules while minimizing the risks of legal malpractice claims. To achieve this, the book brings the basics of the fundamentals of law practice management to the table. From client intake procedures to file-closing letters, this book includes the essentials for the practical side of the practice of law. Attorneys can be more efficient and focus on the substance of the practice, while spending less time identifying, determining, and incorporating the basics, and leaving more time for attention to issues raised by their clients in ongoing representations.

Author : Frank Maher
Publisher : Unknown
Page : 127 pages
File Size : 50,5 Mb
Release : 2011-01-01
Category : Law firms
ISBN : 1907787593

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Risk and Compliance for Law Firms in a Changed World by Frank Maher Pdf

The radical shift to outcomes-focused regulation on the 6th October 2011 will impose a significant increase in the burden of regulatory compliance on all firms which have offices in England and Wales - including their overseas offices. The full extent of the impact that ABSs will have in the future, great or small, will also only unfold with time. Meanwhile law firms face a variety of other challenges including emerging issues in anti-money laundering compliance, and rising to the challenge of client pressure on costs through outsourcing in various forms and to a variety of jurisdictions. Risk and Compliance for Law Firms in a Changed World has been written specifically to provide a clear understanding of how these issues can affect your firm, and how to respond to ensure they are managed successfully. Using clear and practical examples the report will guide you you through the distinct requirements of a risk management system.

Author : Bronwen Still,Tracey Calvert
Publisher : Unknown
Page : 130 pages
File Size : 47,5 Mb
Release : 2012-04-27
Category : Corporate governance
ISBN : 1908640251

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COLP and COFA by Bronwen Still,Tracey Calvert Pdf

This must-have guide clearly sets out all the obligations and duties of the COLP and COFA roles, along with case study examples and expert advice to aid compliance.

Author : Geoffrey P. Miller
Publisher : Wolters Kluwer
Page : 577 pages
File Size : 44,7 Mb
Release : 2014-03-17
Category : Law
ISBN : 9781454846574

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The Law of Governance, Risk Management and Compliance by Geoffrey P. Miller Pdf

The first casebook on the law of governance, risk management, and compliance. Author Geoffrey P. Miller, a highly respected professor of corporate and financial law, also brings real world experience to the book as a member of the board of directors and audit and risk committees of a significant banking institution. The book addresses issues of fundamental importance for any regulated organization (the $13 billion settlement between JPMorgan Chase and its regulators is only one of many examples). This book can be a cornerstone for courses on compliance, corporate governance, or on the role of attorneys in managing risk in organizational clients. Features: Addresses issues of enormous and growing importance that are not covered by other law school casebooks. Presents numerous cutting edge issues in a rapidly growing body of law and practice. Covers a subject matter that is a major employment opportunity for law school graduates. Professors who adopt this book participate in a new and burgeoning field of academic study and legal practice. Covers general issues as well as specific fields of compliance and risk management. Includes two sets of case studies--one on cases where compliance programs broke down (e.g., Enron, WorldComm, and JP Global), and one on cases where risk management broke down (e.g., UBS and the financial crisis, and JPMorgan Chase and the London whale). Features fewer cases and a higher ratio of author-written text and materials drawn from regulatory publications than in typical law school casebooks. Authored by a professor who is also an independent director of a financial institution.