In-house Lawyers' Risk and Compliance Questions and Answers

Through a series of questions and answers, this book will assist solicitors employed by non-solicitor employers to understand and manage their regulatory and ethical duties. It provides expert advice on some of the most common issues that are likely to arise for the in-house lawyer.

Key areas covered include:

• the relationship with their employer, SRA and other external stakeholders
• professional ethics
• conflicts of interest
• practice rights for solicitors, RELs and RFLs
• confidentiality
• the SRA Standards and Regulations
• providing services to the public
• data protection
• client care, and
• duties to the court.

Each question and answer provides a clear description of the area, detailing numerous helpful resources and sharing valuable compliance tips.

• When must an in-house legal team seek authorisation as a law firm?
• Can the SRA insist on in-house solicitors having regulatory compliance systems? 
• Is it a conflict to act against the interests of a former client or former employer? 

This book is an essential companion for all in-house solicitors. Written in an accessible style, it can be dipped into as required, read cover to cover or used as a basis for training.

About the Author

Tracey Calvert is a lawyer who has worked both in private practice and in-house. She has been a senior ethics adviser and then a policy executive with the Law Society and the SRA. She now runs her own consultancy business which provides regulatory, compliance and ethics services.

Contents

Part 1 – The in-house lawyer’s relationship with the SRA and other external stakeholders
1. Relationship with the SRA and other external stakeholders
2. Practice rights – solicitors, registered European lawyers and registered foreign lawyers

Part 2 – Regulatory and ethical duties
3. SRA standards and regulations – an overview
4. SRA principles
5. Conflicts of interest, confidentiality and disclosure
6. Undertakings
7. Duties to treat others fairly
8. Equality, diversity and inclusion
9. Duties to the court
10. Introductions, referrals and separate businesses

Part 3 – The in-house lawyer’s relationship with their employer
11. Relationship with the employer
12. Professional duties and client considerations
13. Supervision

Part 4 – Other considerations
14. Other considerations

Book Information

ISBN 9781784462314
Author Tracey Calvert
Format Paperback
Pages 208
Publisher The Law Society