Outcomes-Focused Regulation: Compliance in Practice

Bronwen Still is a solicitor (now non-practising) who worked in highstreet practice doing mainly crime, matrimonial and conveyancing work before joining the Law Society in 1980. She worked in many capacities for the Law Society (and subsequently the SRA), initially handling complaints, dealing with interventions and prosecuting cases before the Solicitors Disciplinary Tribunal. In 1989 she was appointed head of the newly-formed 'Professional Ethics' guidance team and was responsible for developing the work of that team - which provides confidential advice to the profession on all matters of professional conduct. In 1999 Bronwen was appointed head of Professional Ethics policy team and, as such, led the team which drafted the Solicitors' Code of Conduct 2007. She is the author of several published articles on the Code of Conduct. Bronwen played a significant role in the early drafting of the new SRA Handbook and was one of the authors of the consultation and draft rules which were published in May 2010, setting out the SRA's new outcomes-focused regulatory approach. She also undertook many workshops on the new regulatory approach as part of the SRA's series of roadshows in 2010. Bronwen has also worked internationally - in Moscow, Lebanon, Jordan, Egypt and, most recently, advising the Vietnamese Government and legal profession on the drafting of their first national ethical code. In September 2010 she set up Seven Hills Legal Training and Services Limited and is now working as an independent consultant advising firms on regulatory matters and lecturing on compliance issues. 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.
Bronwen Still is a solicitor (now non-practising) who worked in highstreet practice doing mainly crime, matrimonial and conveyancing work before joining the Law Society in 1980. She worked in many capacities for the Law Society (and subsequently the SRA), initially handling complaints, dealing with interventions and prosecuting cases before the Solicitors Disciplinary Tribunal. In 1989 she was appointed head of the newly-formed 'Professional Ethics' guidance team and was responsible for developing the work of that team - which provides confidential advice to the profession on all matters of professional conduct. In 1999 Bronwen was appointed head of Professional Ethics policy team and, as such, led the team which drafted the Solicitors' Code of Conduct 2007. She is the author of several published articles on the Code of Conduct. Bronwen played a significant role in the early drafting of the new SRA Handbook and was one of the authors of the consultation and draft rules which were published in May 2010, setting out the SRA's new outcomes-focused regulatory approach. She also undertook many workshops on the new regulatory approach as part of the SRA's series of roadshows in 2010. Bronwen has also worked internationally - in Moscow, Lebanon, Jordan, Egypt and, most recently, advising the Vietnamese Government and legal profession on the drafting of their first national ethical code. In September 2010 she set up Seven Hills Legal Training and Services Limited and is now working as an independent consultant advising firms on regulatory matters and lecturing on compliance issues. 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.