Beal Cooper Compliance Ltd
The Three Lines of Defence Model for Law Firms
How can the three lines of defence model help law firms? It is about more than AML, and can benefit the whole compliance function.
If You Can't Prove It, It Doesn't Count: The Importance of Audit Trails in Compliance
More firms are getting it right when it comes to operating compliantly. However, many still can't prove it. Audit trails are essential.
Why external compliance support makes sense for law firms
As a former Partner and COLP, I understand how long and complex the compliance to‑do list can become. Much of the work involved today goes far beyond what many of us envisaged when we first trained as solicitors. Between regulatory change, increasing oversight, and the realities of day-to-day practice, it’s easy to lose track of…
What Does a COLP Actually Do?
What does a COLP actually do? This article explores the requirements and responsibilities of COLPs and outlines the importance of support.
Effective and efficient complaints handling
Complaints handling is a sensitive topic for law firms, but handling them well can avoid financial, reputational and regulatory risk.
Secrets of a great file review process
In this article, Carolyn Beal explores why file reviews are important and offers tips for a great file review process