The Law And Regulation Of Solicitors Client Money
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The Law And Regulation Of Solicitors
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Author : Katie Jackson
language : en
Publisher:
Release Date : 2023
The Law And Regulation Of Solicitors written by Katie Jackson and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2023 with England categories.
All those involved in legal services delivery, whether solicitors, licensed conveyancers, reporting accountants, or other legal professionals, need to understand the requirements for receiving, holding, and transferring client money. Handling this money also has another dimension for the professional to carefully consider: the serious issue of anti-money laundering. Presenting the rules, requirements, and anti-money laundering context of law firm financial management in an easy-to-understand guide, this book takes a new angle by examining client money in two important and related arenas: - Within the client account - Within the legislative framework for money laundering Providing a straightforward explanation of the Solicitors Accounts Rules, CLC Accounts Rules, the Money Laundering Regulations 2017, and the relevant sections of the Proceeds of Crime Act 2002, its practical layout encompasses diagrams, worked examples, and a section of training materials for use as continuous professional development. The book not only informs and is a reference point for the reader and their firm, but it also provides example forms, risk assessments, and training plans. Firms can use it as a basis for policies and procedures, learning and education, and for broader policy debate amongst more senior professionals. This is essential reading for those studying to become solicitors or licensed conveyancers; legal and finance professionals; money laundering reporting officers; and accounts professionals in legal services.
The Law And Regulation Of Solicitors Client Money
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Author : Katie Jackson
language : en
Publisher: Bloomsbury Publishing
Release Date : 2023-05-01
The Law And Regulation Of Solicitors Client Money written by Katie Jackson and has been published by Bloomsbury Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2023-05-01 with Law categories.
All those involved in legal services delivery, whether solicitors, licensed conveyancers, reporting accountants, or other legal professionals, need to understand the requirements for receiving, holding, and transferring client money. Handling this money also has another dimension for the professional to carefully consider: the serious issue of anti-money laundering. Presenting the rules, requirements, and anti-money laundering context of law firm financial management in an easy-to-understand guide, this book takes a new angle by examining client money in two important and related arenas: - Within the client account - Within the legislative framework for money laundering Providing a straightforward explanation of the Solicitors Accounts Rules, CLC Accounts Rules, the Money Laundering Regulations 2017, and the relevant sections of the Proceeds of Crime Act 2002, its practical layout encompasses diagrams, worked examples, and a section of training materials for use as continuous professional development. The book not only informs and is a reference point for the reader and their firm, but it also provides example forms, risk assessments, and training plans. Firms can use it as a basis for policies and procedures, learning and education, and for broader policy debate amongst more senior professionals. This is essential reading for those studying to become solicitors or licensed conveyancers; legal and finance professionals; money laundering reporting officers; and accounts professionals in legal services.
The Law And Regulation Of Solicitors
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Author : Katie Jackson
language : en
Publisher: Bloomsbury Professional
Release Date : 2024-02-08
The Law And Regulation Of Solicitors written by Katie Jackson and has been published by Bloomsbury Professional this book supported file pdf, txt, epub, kindle and other format this book has been release on 2024-02-08 with Law categories.
This book covers a range of materials the author has written and presented for law firms as continuous professional development, since 2014. Covering a wide range of regulatory and compliance subjects, and the detail of the regulatory rules themselves, the texts and materials present the context and expectations of legal regulators in greater detail than available elsewhere. The author's direct experience as a regulatory decision maker provides the backdrop to the guidance provided about the application of the rules. Each section includes material used as CPD, along with activities for the reader to complete to embed their learning.
The Law And Regulation Of Solicitors Serious Breaches And Practising Certificate Conditions
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Author : Katie Jackson
language : en
Publisher: Bloomsbury Publishing
Release Date : 2022-02-28
The Law And Regulation Of Solicitors Serious Breaches And Practising Certificate Conditions written by Katie Jackson and has been published by Bloomsbury Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2022-02-28 with Law categories.
Professional standards consultant Katie Jackson discusses the management of risks in law firms and leads you through the confident regulatory practice of solicitors. She provides guidance on the regulator's requirements for dealing with serious breaches of the rules of professional conduct, the relationship of breaches to the annual renewal of the practising certificate, and the imposition of conditions on solicitors. Through this guide you can: Understand the legislative framework sitting behind the Solicitors Regulation Authority's regulations Understand the various ways to set up and operate as a solicitor firm, and how to meet the expectations of the legislation governing these areas Identify and manage serious breaches, and understand the regulator's expectations Manage scenarios in which practising certificate or firm conditions may be imposed Understand the requirements for, and expectations of, the reporting accountant, and the recent history of changes to their reporting role Complete your annual CPD, through built in exercises to enable you to understand the judgements required when dealing with the regulator's Codes of Conduct Legal commentary is accompanied by a separate practical discussion of the management issues arising from the legislation, the possible solutions for implementation within firms, regulatory debates and an analysis of the possible gaps. The book covers strategic decision making for firms and the different regulatory and risk management outcomes of setting up a practice in different ways. This is an essential title for legal practitioners, reporting accountants, approved regulators, those thinking about working with freelance solicitors or employing solicitors, and those completing the LPC, GDL, SQE, or studying law and ethics.
The Law And Regulation Of Solicitors Serious Breaches And Practising Certificate Conditions
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Author : Katie Jackson
language : en
Publisher: Bloomsbury Publishing
Release Date : 2022-02-28
The Law And Regulation Of Solicitors Serious Breaches And Practising Certificate Conditions written by Katie Jackson and has been published by Bloomsbury Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2022-02-28 with Law categories.
Professional standards consultant Katie Jackson discusses the management of risks in law firms and leads you through the confident regulatory practice of solicitors. She provides guidance on the regulator's requirements for dealing with serious breaches of the rules of professional conduct, the relationship of breaches to the annual renewal of the practising certificate, and the imposition of conditions on solicitors. Through this guide you can: Understand the legislative framework sitting behind the Solicitors Regulation Authority's regulations Understand the various ways to set up and operate as a solicitor firm, and how to meet the expectations of the legislation governing these areas Identify and manage serious breaches, and understand the regulator's expectations Manage scenarios in which practising certificate or firm conditions may be imposed Understand the requirements for, and expectations of, the reporting accountant, and the recent history of changes to their reporting role Complete your annual CPD, through built in exercises to enable you to understand the judgements required when dealing with the regulator's Codes of Conduct Legal commentary is accompanied by a separate practical discussion of the management issues arising from the legislation, the possible solutions for implementation within firms, regulatory debates and an analysis of the possible gaps. The book covers strategic decision making for firms and the different regulatory and risk management outcomes of setting up a practice in different ways. This is an essential title for legal practitioners, reporting accountants, approved regulators, those thinking about working with freelance solicitors or employing solicitors, and those completing the LPC, GDL, SQE, or studying law and ethics.
Managing Client Money
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Author : Reid Mortensen
language : en
Publisher: Butterworth-Heinemann
Release Date : 2011
Managing Client Money written by Reid Mortensen and has been published by Butterworth-Heinemann this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011 with Attorney and client categories.
"... Addresses the principles of trust account management clearly and comprehensively by integrating the legislation, principles of trusts and fiduciary law, professional ethical rules and tribunal and court decisions.
Law And Regulation Of Tax Professionals
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Author : Julian Hickey
language : en
Publisher: Bloomsbury Publishing
Release Date : 2021-04-09
Law And Regulation Of Tax Professionals written by Julian Hickey and has been published by Bloomsbury Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2021-04-09 with Law categories.
Law and Regulation of Tax Professionals examines all aspects of the obligations and liabilities of tax advisers arising out of professional standards, contract, tort, tax legislation (including DOTAS, POTAS and DAC6) and criminal tax evasion sanctions against the backdrop of legislative and case law. The purpose of this book is to provide a comprehensive overview of the law and associated matters concerning the regulation of tax professionals; and to seek to draw some practical lessons as to how the tax professional and the business they work in can organise themselves to comply with what is required by regulation, best practice and to eliminate so far as possible the consequences of mistakes and unforeseen occurrences. Illustrated throughout with examples and reference to relevant case law, as well as checklists to help the reader put measures in place to protect themselves against the risk of becoming involved in breach of regulatory standards, this title is essential for tax professionals (including ICAEWs, CTAs, TEPs), tax agents, in house tax advisers, and lawyers advising on tax matters.
Accounts For Solicitors
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Author : Ralph Denny
language : en
Publisher: Routledge
Release Date : 2013-03-04
Accounts For Solicitors written by Ralph Denny and has been published by Routledge this book supported file pdf, txt, epub, kindle and other format this book has been release on 2013-03-04 with Law categories.
First published in 2004. Routledge is an imprint of Taylor & Francis, an informa company.
The Guide To The Professional Conduct Of Solicitors
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Author : Paul Venton
language : en
Publisher:
Release Date : 1996
The Guide To The Professional Conduct Of Solicitors written by Paul Venton and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1996 with Lawyers categories.
Financial Services Law Guide
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Author : Andrew Haynes
language : en
Publisher: Bloomsbury Publishing
Release Date : 2021-11-30
Financial Services Law Guide written by Andrew Haynes and has been published by Bloomsbury Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2021-11-30 with Law categories.
A comprehensive guide to the rules and regulations that govern the UK financial services industry, providing: - Analysis of the various laws and regulations and how they impact on customer relations and retail products - An outline of the protection given to clients' money and the functioning of the prudential requirements - An explanation of the rationale and operation of enforcement procedures - Details of requirements as they apply to professionals who engage in financial services activities as an incidental part of their professional activities - A consideration of recently implemented EU initiatives The fifth edition has been fully updated in line with the post-EU regime and in addition includes updates to: - the new investments and investment activities and the FCA rules and their impact - the FCA authorisation procedures and their impact - the approved persons regime - the rules and, in particular, their applications in relation to retail products and customer relations - the rules in relation to professionals as well as coverage of: - the EU Market Abuse Regulation - 4th and 5th Money Laundering Directives in their UK form including additional examples of enforcement actions and prosecutions and the lessons to be learned - new case law in relation to enforcement and the lessons learned Covering the latest developments, this valuable text is set out in the context of common practice and is indispensable for those working within or otherwise associated with the financial services industry, namely lawyers, compliance officers, auditors, financial advisers, consultants, academics and students.