Compliance & Legal
Course · 15 lessons · 39 min
Legal Compliance for Small Law Firms
Create a practical risk-awareness path for small law-firm teams.
By the end, you'll be able to
- When AI Gets It Wrong
- Making Complaints Transparent
- Lessons from a Moment of Madness
- Law Society Responds to the SRA Business Plan
Curriculum
15 lessons- 01When AI Gets It WrongThis episode dives into the real-world consequences of AI errors in the legal profession. André and Paul unpack landmark cases, regulatory reactions, and the everyday risks of AI hallucinations—plus what lawyers need to do to stay ahead.
- 02Making Complaints TransparentThis episode breaks down the SRA’s proposed changes to how law firms handle and display complaints procedures. Andre and Paul discuss the implications for firms and clients, highlight feedback from legal professionals, and explore what these rules mean for transparency and trust.
- 03Lessons from a Moment of MadnessExplore the real-life case of Heather Roberts, a solicitor whose career was nearly derailed by a critical mistake. Andre and Paul unpack the regulatory and personal lessons, spotlighting the importance of early intervention and transparency for legal professionals.
- 04Law Society Responds to the SRA Business PlanPaul and André unpick the Law Society's response to the SRA business and look at what it means High Street Firms
- 05Navigating Social Media Risks in Legal PracticeExplore how legal professionals can harness social media while upholding ethical standards. Andre and Paul unpack practical risks, regulatory guidance, and real-world scenarios to help you stay compliant online.
- 06High Risk Jurisdictions UpdateA review of EU’s latest High Risk Jurisdictions list, how it aligns with FATF standards, and what the changes mean for legal compliance. Andre and Paul break down the countries affected and discuss the practical implications for UK legal professionals.
- 07Motor Finance Redress and Solicitor ResponsibilitiesWe break down the latest developments in motor finance claims, the looming Supreme Court judgment, and the evolving regulatory landscape. Andre Grayson and Paul Crowther guide listeners through what solicitors need to know about compensation schemes, client communications, and best practices.
- 08Anti-Money Laundering Training DemystifiedDive into the compulsory world of AML training for law firms. Andre and Paul break down what the regulations require, who needs training, what content matters most, and why enforcement is getting serious.
- 09When Billing Goes WrongThis episode examines the case of a senior associate struck off for submitting dishonest timesheets and explores the wider impacts of improper time recording on professions and colleagues. Andre and Paul break down the challenges, compliance implications, and risks legal professionals face when meeting billing targets. Real-world lessons, illustrated by a memorable case from Irwin Mitchell, anchor this urgent discussion.
- 10Encouraging Equality, Diversity and Inclusion in LawJoin Andre and Paul as they explain the Solicitors Regulation Authority's updated guidance on Principle 6 and explore how legal professionals can actively promote equality, diversity, and inclusion in firms. Hear real-world examples, practical strategies, and the regulatory expectations shaping the profession today.
- 11Bridging Compliance ChallengesExplore the key challenges faced by compliance officers including knowledge gaps, resource strains, and wellbeing risks. Learn practical strategies to improve regulatory competence, share compliance responsibilities, and foster a supportive firm culture for better governance.8 min
- 12Dodging Phishing ThreatsExplore the rising phishing risks targeting law firms and their impact on compliance. Learn practical techniques to spot suspicious emails and discover effective response strategies backed by real-world legal examples.7 min
- 13Right to Work Checks: The £20,000 Risk Employers MissThis episode breaks down the real cost of getting right to work checks wrong, from civil penalties to criminal exposure, and explains why simply seeing an ID on video is not enough. It also covers the three valid 2026 check routes, including when certified IDSPs can be used and what employers must still verify themselves.10 min
- 14The Optimism Trap: Mastering Client CommunicationLearn how to avoid the optimism trap by managing client expectations and providing high-clarity updates that reduce regulatory risks. Andre Grayson and Paul Crowther share practical frameworks for proactive communication and strategies for early escalation when relationships become strained.7 min
- 15Familiarity Breeds Risk: Conflicts, AML and Self-RepresentationThis episode explores how close personal relationships can undermine professional judgment, from drafting wills that benefit the solicitor’s own family to skipping AML and conflict checks for friends and relatives. It also covers the risks of acting for yourself, including misuse of firm resources, intimidation concerns, and when to send the matter to an independent solicitor.6 min
Your instructor
Compliance Pods for Legal Professionals
You're listening to The Legal Compliance Academy's legal compliance updates. This is where legal clarity meets everyday practice. Insights, updates, and practical guidance for legal professionals.
Have your say on the SRA's complaints consultation: https://form.sra.org.uk/s3/FTC-consultation25
Stay Compliant - Stay Safe.
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15 lessons · 39 min. Free, no signup.
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