The In-house Counsel Compliance Companion
In-house counsel must be able to identify and comply with the non-negotiable regulatory and ethical duties expected of them by the Solicitors Regulation Authority. This book provides guidance on essential regulatory and ethical knowledge.
In-house counsel must be able to identify and comply with the non-negotiable regulatory and ethical duties expected of them by the Solicitors Regulation Authority. Whereas private practitioners have the benefit of safety in numbers in a team environment with common professional objectives, this is not automatically the case for in-house counsel. The latter might be used as the ethical voice or heartbeat of their organisation, but it is not uncommon for them to be regarded as the facilitators of advice about how to find ways round obstacles, or to shoulder the blame if there is criticism. Being an in-house solicitor requires an understanding of tensions that might not exist in private practice and knowing when to challenge inappropriate behaviour.
This book provides guidance on essential regulatory and ethical knowledge. The challenges of in-house practice are discussed with commentary on the tensions that might exist such as when the business is global or when business risks are not managed properly. There is analysis of team leader responsibilities and a discussion of the pinch points of being employed as lone lawyer. It also contains contributions from thought leaders and experts, and case studies and examples of disciplinary action are used to support your understanding of this essential topic.
Table of Contents
|Table of contents||3|
|about the Solicitors Regulation Authority||13|
|in-house counsel (1)||35|
|knowledge for in-house counsel (2)||63|
|in-house counsel (3)||113|
|responsibilities – the pinch points||123|
|Chapter VIII: Setting the tone (1): The in-house counsel as team leader||135|
|Chapter IX: Setting the tone (2): The lone in-house counsel||163|
|in the boardroom||177|
|in an international business||183|
|Chapter XIII: The in-house counsel’s role after the COVID-19 pandemic||203|
|Chapter XIV: Conclusion||207|
|About the author||215|
|About Globe Law and Business||223|
Director, Oakalls Consultancy Limited
Tracey Calvert is a lawyer and the director of Oakalls Consultancy Limited. She is a regulatory, compliance and ethics specialist providing a variety of advisory services to members of the solicitor’s profession.
Tracey is a regular speaker and trainer on these topics and has delivered presentations both within the UK and internationally. She is the co- chair of the International Bar Association’s Professional Ethics Committee and is on the editorial board of the Law Society’s Legal Compliance Bulletin. She is a contributor to Cordery on Legal Services, writes a monthly compliance column for the Solicitors Journal and has written several books on compliance and ethics. Full details are available at www.oakallsconsultancy.co.uk.
Tracey was previously employed by the Law Society and the SRA as a senior ethics adviser and a policy executive. She has also worked both in private practice and in an in-house role.