Conduct and regulatory issues

Conduct and regulatory issues

Practising as a lawyer in today’s legal market is certainly not for the faint-hearted.

Balancing the demands of clients, the requirements of regulators, the need to be profitable and all of the other issues that are placed at the door of today’s legal practitioner, can be difficult. Little wonder, then, that many firms are finding that addressing conduct and regulatory related issues is something that they simply do not have the time to do.

The Lawyers Defence Group can assist you in dealing with any problems that arise.

We can assist you and your practice:

  • review your procedures, policies and systems to ensure that you are compliant with the current rules of your regulator;
  • put in place procedures so as to ensure compliance – for example supervision systems or client complaint handling procedures;
  • deal with any queries or information requests that you receive from your regulator;
  • assist you in dealing with investigation and monitoring visits;
  • advise you on appropriate practice structures and applications to regulators; and
  • mitigate any impact of regulatory breaches to which you or your firm may have become subject.

For further information, contact the Lawyers Defence Group by:

  • telephoning during office hours –  0333 888 4070,
  • requesting a call-back using the call-back request form to the right,
  • telephoning our out of hours number (but please only in an emergency – for example when someone has been arrested or you believe that your firm might be about to be intervened in) 07952 861 868,
  • emailing us at, or
  • writing to us at one of the addresses at the bottom of this web page.