How to respond to Subject Access Requests

Under GDPR, a data subject has the right to obtain confirmation as to whether or not their personal data is being processed. The right to receive data under a subject access request must not adversely affect the rights and freedoms of others. You cannot comply with a subject access request if it would adversely affect someone else’s rights. If the information is subject to legal privilege or concerns a third party, it may not be able to be released.

What is a subject access request?

Data subjects are entitled to find out what personal data is held about them by an organisation, why the organisation is holding it and who else knows the information. The process of finding this out is known as a subject access request, or SAR.

A subject access request is not the same as a Freedom of Information (FOI) request. An FOI request covers all information held only by public authorities, but not personal information about the person making the request. If you are not a public body or otherwise covered by FOI legislation, an FOI request cannot be made to you.

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SRA tackles toxic workplace culture with their updated guidance

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SRA Thematic Review

In February 2022, the Solicitors Regulation Authority (SRA) published a Thematic Review, which included responses from over 200 solicitors. The SRA’s hypothesis was that “if employees are not adequately supported to manage mistakes or to manage client demands, they may be at risk of behaving unethically”.  The review helped the SRA identify a serious problem in firms, with around 25% of those surveyed reporting that their firms do not have a positive workplace culture. Issues raised included being overworked and intolerably pressured to meet targets, as well as problems with bullying.

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Five steps firms can take towards a more positive workplace culture

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What is a positive workplace culture?

A positive workplace culture is an environment where employees feel valued, respected, and supported. It is a culture where employees are motivated to do their best work, feel a sense of belonging, and have a clear understanding of the organisation’s mission, values, and goals. Positive workplace culture also includes open communication, trust, and collaboration among employees, as well as a sense of accountability and a focus on achieving common goals. A positive culture can lead to increased employee satisfaction, loyalty, and motivation, which can contribute to success for the organisation.

How to create a positive workplace culture

According to the SRA (Solicitors Regulation Authority), a positive workplace culture is essential for the well-being and effectiveness of solicitors and their firms. The new guidance that the SRA has published on how firms can promote a positive workplace culture includes doing the following:

Encouraging a respectful and inclusive environment 

Firms should aim to create a culture where everyone feels valued, respected and able to contribute. This includes promoting diversity and inclusion, and addressing any instances of discrimination or harassment.

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Economic Crime and Transparency Bill removes SRA statutory fining limit

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The Solicitors Regulation Authority (SRA) is the regulatory body for solicitors in England and Wales. It is responsible for setting and enforcing standards for the legal profession, and has the power to fine solicitors or firms who fail to meet these standards.

Recently, the SRA has announced that it will be increasing its fines for solicitors and firms who breach its rules: The Economic Crime and Corporate Transparency Bill removes the statutory fining limit for the Solicitors Regulation Authority (SRA), allowing the SRA to set its own limits on financial penalties imposed for economic crime disciplinary matters. Since July 2022, the SRA has been able to fine ‘traditional firms’ and staff up to £25k, which would represent 90% of all fines previously issued by the Tribunal. 

Under the new fining powers, a Bridgend-based firm was slapped last month with a £15k fine plus SRA costs.

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New US legislation could require forced labour audits

Modern Slavery Freedom

Modern countries are fighting forced labour and human trafficking with legislation that makes it harder to use forced labour in their supply chains and profit from it. Modern slavery acts in the United Kingdom, United States, and other countries around the world are requiring large companies to disclose information regarding their efforts to eradicate human trafficking and slavery within their supply chains. The legislation also requires companies to take concrete steps to combat modern slavery when it is discovered. The US has recently introduced the Slave-Free Business Certification Bill 2022.

Slave-Free Business Certification Bill of 2022: What is it?

With this recent bill, the US is joining the growing list of countries requiring businesses to examine more extensively possible problems with modern slavery in their supply chains. If passed, the bill will require large companies to undergo mandatory audits that will identify if they are or are not using forced labour within their supply chains.

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What we learnt from our ESG survey

What is ESG?

The acronym stands for Environmental, Social and Corporate Governance, and refers to three central factors in measuring the sustainability and societal impact of a company or business. 

Global businesses are no longer working on environmental, social and governance issues in a silo. They are bringing them together under the banner of ESG to demonstrate the positive impact their existence is having on the world.

The webinar

VinciWorks recently held an on-demand webinar covering everything ESG: a new, more holistic approach to corporate accountability.

In this webinar, our experts explored the future of corporate accountability rules, and how to stay on top in the changing world of corporate compliance.

The webinar covered:

  • New ESG regulations in the UK, US and EU
  • How to undertake an internal ESG audit
  • Preparing for ESG reporting and regulatory disclosures
  • What VinciWorks can do to help with ESG compliance
  • Your questions on ESG reporting and compliance
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SRA to update standards and regulations (STaRs): What you need to know

SRA Standards and Regulations (StaRS) 

The SRA (Solicitors Regulation Authority) is the independent regulatory body of solicitors and law firms in England and Wales. In November 2019, SRA introduced new Standards and Regulations, which replaced the previous SRA Handbook. These new regulations aim to simplify and modernise the regulatory framework for solicitors and law firms, while maintaining high professional standards and client protection. The changes included a new Code of Conduct for Solicitors and Firms, simplified account rules, New rules on Continuing Professional Development (CPD), and the introduction of new regulatory tools, including the use of technology to monitor compliance and the ability to take a more flexible and proportionate approach to regulation.

SRA update 2022: First change to its STaRs since 2019

The SRA is set to make the first changes to its standards and regulations (STaRs), which were first introduced in 2019. The Standards and Regulations launched in 2019 replaced the SRA Handbook, which had been long and confusing. The new SRA Standards and Regulations are much more concise and no longer stipulate indicative behaviours. The rules in the new handbook are less prescriptive and include separate codes of conduct for firms and individuals. Additionally, the new standards adopted simplified Accounts Rules and a new enforcement strategy.

Why are changes being proposed to SRA standards?

While the majority of solicitors and law firms have given positive feedback about the new rules and codes of conduct, the SRA has identified, via feedback and evaluation, some areas that are causing some practical difficulties either for firms or operationally for the SRA, and that some rules need further clarification. 

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Download your customisable religious festival template for Hanukkah

Download your customisable religious festival template for Hanukkah

In collaboration with our Diversity and Inclusion training partners Skill Boosters, VinciWorks have produced a downloadable, customiseable template to help your workplace celebrate Hanukkah. This one page guide can be posted on a team chat like Slack or sent out by email. It explains what Hanukkah is, how it is celebrated, and encourages participation with people sharing pictures from their Hanukkah celebrations as they would for Christmas.

Hanukkah begins this year on the evening of 18 December 2022, and lasts for eight days until the 26 of December 2022.

Download template

FCA Consumer Duty – What you need to know

FCA Consumer Duty – What you need to know

What the new consumer duty means for the regulated sector

The UK’s financial regulator, the FCA, have confirmed its plans to introduce a new Consumer Duty, with the requirements in force from 31 July 2023.

This new Consumer Duty will have a significant impact on the entire regulated sector. 

The Consumer Duty forms part of the FCA’s transformation to become a more innovative, assertive and data-led regulator, and is a key part of the FCA’s new three-year strategy to improve outcomes for consumers and in markets throughout the UK. The FCA has confirmed it is embedding the Consumer Duty into its approach for authorisation, supervision and enforcement.

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