Learn proactive compliance strategies to identify vulnerabilities, mitigate regulatory risks, and stop routine inquiries from escalating into formal SRA investigations.
Regulatory issues within law firms rarely emerge from a single serious breach. More often, they develop gradually through weak controls, unmanaged conflicts, poor file management, inadequate supervision, financial compliance failures, ineffective reporting processes, or breakdowns in governance systems. By the time concerns escalate into regulatory investigations, many firms discover that the underlying problems have existed for months or years.
This session examines regulatory risk in legal practice from a practical law firm management perspective. The course explores common sources of regulatory exposure, how issues are identified by regulators, and the practical systems firms use to reduce risk before concerns escalate. Participants will gain practical insight into how effective compliance frameworks support both regulatory obligations and broader practice resilience.
Key Topics Discussed
Solicitor and Regulatory Compliance Consultant
Ian qualified as a solicitor in 2002 having completed a training contract with Leo Abse & Cohen Solicitors in Cardiff. Following qualification he moved to John Collins and Partners in Swansea to practice employment law. Ian joined the Forensic Investigation department at the SRA in 2004, where he conducted regulatory investigations at firms of solicitors relating to the SRA Code of Conduct, SRA Accounts Rules and financial services regulations. In 2014 Ian returned to private practice as practice manager at Hutchinson Thomas Solicitors in Neath. In this role Ian focused heavily on compliance and worked closely with the firm’s COLP and COFA. He was also responsible for guiding the firm to achieving quality accreditations, including Lexcel, CQS, WIQS, Cyber Essentials and Investors in People. Ian has a deep understanding of regulatory compliance matters and practical experience of applying this knowledge hands-on within a busy firm. Away from work Ian enjoys outdoor activities and spending time with his family.
