Compliance Matters

There are mandatory training requirements under the Legal Profession Act that are required to be complied with if you propose to practise as a sole proprietor or partner or director for the first time or if you wish to practise as a locum. If you intend to appoint a book-keeper for purposes of the Legal Profession (Solicitors’ Accounts) Rules, you must ensure that the book-keeper has complied with or will comply with the mandatory training requirements under the Legal Profession Act.

In the running of a law practice, you have continuing obligations to comply with various regulatory requirements. These include:

• The employment of staff

• The appointment of second signatories to client accounts and book-keepers for purposes of the Legal Profession (Solicitors’ Accounts) Rules.

• Measures on the prevention of money laundering and funding of terrorist activities as set out in Legal Profession (Professional Conduct) Rules and Council’s Practice Directions.

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