Description
Each year new threats emerge and the regulatory landscape shifts. How do you keep up with this complex, fast-changing environment at the same time as operating a business? Every December Managing Partner scans the horizon across regulation; client relationships; technology; international markets and insider risks to ensure you hold on to all of your profit, and your reputation. With updates direct from your regulators, it is a brave firm that does not register!
Authors
Tracey Calvert
Tracey Calvert is a lawyer who has worked in the law since 1985. She initially worked in a niche shipping law practice in the City of London, specialising in non-contentious work, and was then employed by a local authority in Worcestershire before joining the Law Society in 1997.
Tracey was recruited as an ethics adviser in the Professional Ethics guidance team and became a senior ethics adviser in 2003. Her responsibilities in this role included the training and quality assurance of this highly popular and successful team, which provided confidential guidance to members of the profession on all aspects of conduct.
Tracey has also accepted secondments to the Law Society/SRA professional indemnity team and as a manager of the casework and operational policy team, dealing with admission, character, and suitability issues. In 2009, she took up her final role within the SRA, joining the policy team. She was a member of a very small team which drafted the SRA Handbook and her particular responsibilities were in respect of the new SRA Code of Conduct and the rules in the ‘Specialist Services’ section of the Handbook.
Tracey’s particular interests are conduct, equality and diversity development, financial services, and anti-money laundering policy. During her time at the SRA she has drafted many rules, guidance and articles, and has engaged in many stakeholder activities, both generally and in respect of the SRA Handbook. Tracey is the director of Oakalls Consultancy Limited which provides regulatory compliance services to individuals and entities regulated by the SRA. She lectures on professional conduct, financial services, and anti-money laundering policies, and also provides compliance training and writes on compliance topics.
Tracey has previously written a number of ARK Group books: Outcomes-Focused Regulation: Compliance in Practice and COLP and COFA: Compliance in Practice (both in their second edition), Ethics in Law Firms: A Practical Guide, and In-House Ethics in Practice. Tracey can be contacted via email at her consultancy.
Michael Pretty
Head of Compliance, DLA Piper and Board Member, Legal Compliance Association
Amasis Saba
Compliance Manager and Deputy MLRO, Berwin Leighton Paisner
