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New Book

Thu, 20 Jun 2024 10:29:18 GMT

The Law and Management of Solicitors: Management Skills

Bloomsbury Professional have recently published my third book about legal regulation. 'The Law and Regulation of Solicitors: Management Skills' is a legal ethics book with a difference. This is practical, management focused ethics, which can be used in real life scenarios by professionals. Rarely do we see ethics or compliance listed in management skill sets; an MBA might focus on financial skills, HR, or strategy. Compliance, ethics management, and setting a consciously aware tone for staff are not often on the agenda.

This book aims to change that debate. It says leadership, and taking staff with you on a journey, is about generating belief, and appealing to the moral compass of staff members. Leadership which takes this path is sustainable, and does not lead us down into fines, negative media coverage, and enforcement action against employees or contractors.

The book covers a range of different topics which management in law firms should understand. From running separate businesses, to switching regulators, or managing client care and complaints, to delivering an independent AML audit, we discuss a wide range of different scenarios that make strategic and ethical decisions easier. Managers with the book will find they can discuss the requirements of an SRA investigation, develop a detailed geographic profile of their client work, or offer a development pathway to first steps aspiring future leaders. The book has a wide range of material, with carefully considered templates for use, and CPD you can deliver for staff in house.

For those looking for CPD, the book provides knowledge development activities and exercises you can offer to employees in AML, GDPR, and across the SRA and CLC Codes of Conduct.

Comment: Exams for compliance staff?

Tue, 17 Oct 2023 13:04:15 GMT

How do we know our compliance officers are well qualified?

Those of us who follow the Council for Licensed Conveyancer's activities will know that last year (2022) they consulted on training and learning requirements for compliance staff and mandatory compliance post holders. We might well ask how we know our compliance staff are well qualified. Oftentimes I would look at experience and that can mean years of work and training. There is not a qualification out there just for us compliance staff.

Regardless of which legal regulator your firm is regulated by, we might expect our compliance staff to understand a range of material - from regulator codes of conduct and interpretations, to AML, and accepted complaint handling standards. In some solicitor legal aid firms an understanding of the SQM or LAA contract is essential. If you work in accounts or perform the function of a COFA, the accounts rules are centre stage in your work and learning their functions is a pre-requisite to the post.

However there can be more than that - with potential claims to handle, cybercrime to combat, management problems to solve, audit work to undertake, and supporting individual learning needs assessments to assure competence, there is a large variety of work that needs to be done. And this is before we cover the legal aspects of the compliance officer or management role - such aspects might include a detailed understand of potential enforcement actions and problems associated with regulatory proceedings; the basis of tort actions; underlying legal work for the areas of compliance support, audit, and file reviews; and the basics of criminal investigations.

There is no such detailed proposal on the table from either the SRA, CLC, or any of the other legal regulators. At the moment, the body of work underlying legal regulation and the suggestion of competence within compliance is an underdeveloped theme for compliance officers, consultants, and other associated staff.

One hour free offer

Mon, 10 Jul 2023 09:39:09 GMT

How can we help?

Engaging an external consultant can sometimes be difficult. We don't always know whether we will get a person with the same direction as us; who understands and supports our firm and operations; and who we think will make real a difference to our work.

Consultancy is the provision of business support, in a variety of different ways. In our case - compliance. You might think "we need a project to solve this particular compliance issue". For example, working with our different departments on a risk assessment, delivering an in house training programme, or helping re-design client care processes. Alternatively it might be risk based - so helping identify areas of risk in conveyancing (for example), and putting in place procedures to help avoid claims.

There are a variety of ways to use a management consultant in compliance, and these are just some examples. If you have a project in an area that is causing you difficulty, and you are not sure where to start, or you would like some cost effective support, we can probably help you.

This is where 1 hour free comes in. Here's how it works:

You email honne (hello@honne.co.uk) with brief details of the project you have in mind, and ask for the 1 hour free
We will set up a half an hour chat (usually by telephone) and send you our standard T&Cs and data protection policy
At the booked time will discuss the problem with you for half an hour and how we can help
We will email you with confirmation of the discussion and proposed assistance (the second half an hour)
Any further time beyond one hour is chargeable at our standard rate
1 hour free is no obligation, so you do not have to proceed beyond the initial discussion
1 hour free is available to regulated firms only

In respect of point 1, we only offer 1 hour free - so please do not send lots of documents or large documents for us to read at this stage. Basic advice is offered. Telephone appointments are usually offered with approximately two weeks of initial enquiry.

1 hour free can only be claimed once in every two calendar years.

Many firms have benefitted from 1 hour free; with:

Reductions being made in bills - when we have been able to help with a project, and later produced a bill, 1 hour has been credited, free
Basic advice being given to start people in the right compliance direction, with them feeling more confident about what they are doing going forward
New, start up, and small firms benefitting from the support
Greater understanding from firms about the next steps in their proposed compliance project, and how to develop their project plan

So, if you would like to use the offer, email hello@honne.co.uk

The Law and Regulation of Solicitors: Client Money

Fri, 28 Apr 2023 12:15:20 GMT

My new book

I am delighted to write a post about my new book - called 'The Law and Regulation of Solicitors: Client Money'. I took delivery of my copy yesterday, and I was very excited to receive it.

It has been a year in the writing, with lots of bits and pieces of CPD and other written work from a variety of previous training courses and consultancy based activity. However, much of the content is new, and producing it as a book has taken probably about 12 months of fairly consistent hard work.

It covers firstly the SRA and CLC accounts rules, with an easy to follow explanation of the rules and how client money should be handled - in simple terms. From there, the book continues to explain the main aspects of the Money Laundering Regulations and provides the link between those regulations and the receipt of client money. So often, we think of AML as identity checking; rarely we see arranging, receiving, and transmitting client money as important steps, but they are important under the Proceeds of Crime Act, and we can use those steps to meet the obligations for due diligence and ongoing monitoring in the Money Laundering Regulations.

The book provides a large number of template solutions considering the full firm (not just the legal service delivery), and with a particular focus on finance AML due diligence and internal auditing. Thus allowing the COFA to play a full part in the AML agenda, and the MLRO and MLCO a new means to fulfil the requirement for enhanced due diligence, by using the financial functions of the law firm.

With a whole section on risk assessments, new avenues to explore in your firm risk consideration, and a full section of CPD covering anti money laundering, accounts rules, reconciliations, and past exams, it is an incredible resource for any law firm who would like to take a new approach.

It is also suitable for those just starting out in law, and can be used by trainees to learn the accounts rules, and the relevant sections of the Proceeds of Crime Act and Money Laundering Regulations - all helpful for the SQE, solicitor apprenticeship, or to meet CILEx, or Licensed Conveyancing qualification standards.

To order your copy, follow this link to the Bloomsbury Professional website https://www.bloomsburyprofessional.com/uk/law-and-regulation-of-solicitors-client-money-9781526524621/

Or, speak to your local bookshop to order you a copy. Specialist legal retailers of books such as Wildy & Sons can also place an order for you.

Happy reading (training, and template using), to you all!

Consultancy

Thu, 06 Apr 2023 13:05:48 GMT

Have you ever worked with an external consultant?

Honne is a management consultancy, and Katie is a professionally trained management consultant. But what does that mean?

Many people in legal services have never worked with a management consultant before, and are unsure what to expect, what kind of outcomes they might achieve, or how to engage the services of a consultant.

A management consultant will work with you across your business, to achieve a set outcome. That might be improved business results in one area, improved staff capability (for example, through training), or another important business outcome. Honne specialises in compliance for law firms.

The responsibility for the business rests and remains with you at all times, but you have additional support in achieving your goals. This means you can call, email, text, and meet with the consultant. They will usually attend your office, determine your goals with you, and suggest a way forward. You will work on the outcome together, with the firm retaining overall responsibility. Your business benefits from the additional manpower, and the specialist knowledge and skills of the consultant.

At the point at which the goal is achieved, in sight, or at another agreed point, the consultant will move away from the business. The consultant is not expected to be there as an employee or consistently. Consultants work across a range of businesses on temporary projects. Importantly, consultants do not outsource tasks completely from businesses.

Hopefully that clarifies some beginning aspects of the theory of professional management consulting. As for how to engage a consultant - Honne offers a one hour free consultation, to see if we can help.

Conference anchor

Mon, 20 Mar 2023 12:19:50 GMT

Get the most from your conference

Have you ever organised a conference? Whether in house or client facing, there is a lot of work required to ensure the event goes smoothly. Our new service allows you to book Katie to anchor your conference, taking away a lot of the advance and on the day direction required to manage speakers and delegates. The service is designed to allow you to spend the time at your conference discussing speaker insights with your clients; working through immediate ideas; and developing new connections with those that attend. Often, a lot of time goes into organising and managing the day, when we could be capturing immediate learning, feedback and thoughts, and deepening our business relationships.

Our service means you can still make keynote addresses, host the conference, and impress your clients and connections with your business insights from the podium. We provide an experienced public speaker, who has worked in venues across the country, to work alongside you, managing the speaker list, transitions, and delegate information, and ensuring the day runs professionally.

After more than 10 years presenting, preparing venues, managing workshops and break out sessions, directing and coaching other speakers, and preparing slide packs for herself and others, Katie is a responsible and experienced conference and event anchor, available to assist you.

For more information or an informal discussion, please contact hello@honne.co.uk, or fill in the form on the Contact Us page.

Honne Store - New Dates and New Course

kjax.kh@googlemail.com (Katie Jackson) — Tue, 01 Nov 2022 12:33:58 GMT

This is my first blog post since August. Where on earth have I been?.... More on that soon!

In the Honne Store there are now new dates for late winter / spring 2023 for the in person courses in:

Serious Breaches and Practising Certificate Conditions (SRA Firms) and
Acting on both sides (SRA and CLC firms)

We have date and venue options across the country - in London, Birmingham, and Leeds.

If you have a location we are not offering and can't make it to one of those cities, please get in touch and we'll consider whether we can offer it.

Right now I am working on a new course. It will be uploaded to the Honne Store soon. It is one of our reflective 'At Your Desk' range of courses, covering an important aspect of client instructions.

Serious breaches and practising certificate conditions

kjax.kh@googlemail.com (Katie Jackson) — Tue, 30 Aug 2022 08:22:51 GMT

A book and a course

It is coming to that time of year again when solicitors renew their practising certificates. If you would like to join our training course covering practising certificate renewal, and the ethical discussion of breaches in solicitor practices, please head over to the Honne store to book your place on one of the available course dates.

You can also buy the book! Published by Bloomsbury Professional and featuring content about legal regulation more generally, the book covers a wide variety of debate about ethical practice, practising restrictions, and serious breaches. There is also a separate section for Reporting Accountants based on the associated course 'Qualified Reports and Serious Breaches', which covers the recent history of the annual accountants' report and the ethical questions posed by reporting to the regulator. Available from most booksellers, and legal bookshops, you can also buy the book direct from Bloomsbury themselves. Here's the link to the page on the Bloomsbury website. The full title of the book is 'The Law and Regulation of Solicitors: Serious Breaches and Practising Certificate Conditions'.

Lionesses

kjax.kh@googlemail.com (Katie Jackson) — Mon, 01 Aug 2022 08:34:10 GMT

The story of women's football is an important one in management. England ladies have just won the Euros and asked after the game what made the team so special, their manager Sabrina Weigman said 'How long have you got. Have you got half an hour?' A very supportive and positive mental attitude from the manager, with a detailed knowledge of the team and their dynamics. In a game where managers come and go quickly, and criticism is levelled at players in the national media for everyone to read, it's a fantastic team building and tournament winning response. Well said.

My own experience in ladies football comes from my school days; when I was part of a team that we (the players) set up and ran ourselves outside of school. We entered into a league in Leicestershire which was supported (very slightly) by the County Council; they allowed us to play matches on their pitches and arranged our fixtures. The fixtures were funny - there was only one other team in the league and we played them every other week - necessitating a 45 min drive across Leicestershire to the pitch. They were a school team, we weren't. I think even the Council thought it was funny (it was hilarious). If we contrast this to the boys set up, there were a number of established clubs, regular games, coaching, balls, and kits. We didn't have a coach, or a pitch to practice on - just our own back gardens and our own footballs. As we grew up we became eligible for proper ladies football where the atmosphere was very different - run by an established group of much older players - it was quite intimidating.

I don't play anymore, and those of you who know me will realise I have a metal fixed ankle now, but I am still surprised by how well I can kick a ball. I also initially chose a career in public services - perhaps in part due to the wonderful attitude of Leicestershire County Council all those years ago.

Let's hope the investment in ladies football continues to grow and to support those with an interest. Let's also hope we see more supportive professional management examples in the media, in sport, and generally, like we saw last night.

Beginning Management

kjax.kh@googlemail.com (Katie Jackson) — Thu, 21 Jul 2022 08:24:16 GMT

There is a new course in the Honne Store - Beginning Management is a course for those taking their first steps into a working life perhaps beyond initial qualification; following experience in the workplace; or as a new career development opportunity.

The course is designed as a program of work, exercises, and activity to support the learner in taking those first steps, over a period of time.

Suitable for one manager and up to three learners in your organisation, the course also offers a certificate for the learner in Beginning Management, and another one for the supporting manager in Supporting and Coaching Staff.

The course is intended to support those organisations who would like to offer development opportunities to their staff members, with a designed package of exercises, and a progress plan to forward plan, undertake, and reflect at each stage of development.

If you are interested in the package, and would like to know more, please contact Katie at hello@honne.co.uk for an informal discussion.

This course is part of the 'At My Desk' range which are designed as reflective learning.

At My Desk

kjax.kh@googlemail.com (Katie Jackson) — Tue, 12 Jul 2022 08:16:00 GMT

The last few weeks have been very busy here at Honne, with client projects and contracted work to be delivered. There is more to do, and of course as we near the CPD deadline in October, everything gets very busy!

The next project course to be uploaded to the website will be the first 'At My Desk' course. This range of courses is designed to be more reflective in its approach, allowing the person completing the course to find space to take their own path. The first of these courses should be available and on the website soon.

Website working

kjax.kh@googlemail.com (Katie Jackson) — Wed, 29 Jun 2022 08:46:17 GMT

The website is now up and running, with everything where it should be. I didn't realise when I started I would be a website designer and engineer as well!

I am designing material for the Honne Store at the moment which is always an exciting process, as you start to see a course come to life. I also have some client projects ongoing at the moment, also in learning and development and it's great to see the commitment and involvement from firms to delivering ethical and customer focused perspectives to their in house teams.

Course online

kjax.kh@googlemail.com (Katie Jackson) — Fri, 10 Jun 2022 13:54:49 GMT

The first course is available. CLC Client Care and Client Money is available to regulated law firms for use by up to four people. It includes a video, course materials, and exercises. It comes with forms to complete to show you have undertaken the exercises - send these in for feedback and a Certificate.

Courses are available to buy on line - we will email you a link to download the course materials within four working days.

If you have more or less than four people then contact hello@honne.co.uk for more information.

More courses will be added in the coming weeks.

Making links that work

kjax.kh@googlemail.com (Katie Jackson) — Mon, 06 Jun 2022 13:57:21 GMT

Have you ever built a website? It's quite hard. I've got to make sure all the links work, the logo is in place, and it's navigable. Once I've finished this job I'll be on to the content; initially some CLC and SRA Compliance CPD, hopefully available to access via an online store. I should have the first courses available in the next few weeks.

In the meantime, if you require training and learning content for your firm, please get in touch using hello@honne.co.uk or the contact us form below.

Building the website and adding content

kjax.kh@googlemail.com (Katie Jackson) — Thu, 26 May 2022 20:57:14 GMT

Online courses

Hello and welcome to the new Honne website. I am just building the website at the moment and am going to add online learning materials and courses to download, as well as templates, policies and procedures as time goes on.

I have just finished my first book and am writing my second, but I will be working on the website to get courses and materials available very shortly, over the summer, and in time for the CPD year.

If there are any courses I have delivered online in the past or you have seen advertised that you would like available, please get in touch.