Risk and compliance

Mr Justice Flaux

Solicitor struck off in High Court after SRA wins leniency appeal

2019-10-18T10:22:00+01:00By

Kwame Siaw had been fined £10,000 by the tribunal and not found to be dishonest.

SDT-sign

Solicitor suspended after firm waited years to pay disbursements

2019-10-16T14:34:00+01:00By

Jayne Greer did not know about non-payments but found responsible for allowing situation to arise.

Lord Keen of Elie at launch event Barclays Eagle Labs

Justice minister Lord Keen QC facing professional misconduct charge

2019-10-16T10:51:00+01:00By ,

Keen came to prominence representing the government in the high-profile prorogation case in the Supreme Court.

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COFAs face ‘huge burden’ as record numbers referred to tribunal

2019-10-15T10:32:00+01:00By

Difficulty of financial compliance officer role highlighted by numbers being prosecuted.

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Gregory

Must solicitors be paragons of virtue?

30 September 2019By Gregory Treverton-Jones QC

Regulation: double standards.

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Freelance solicitors: a threat to the direct access bar

2019-09-16T10:42:00+01:00By Paul Bennett

Similarities between the freelance solicitor model and the existing direct access barrister model should be cause for concern.

Canary Wharf

Balancing act

29 July 2019By

No one talks about ‘light touch’ regulation in financial services these days. But is the FCA struggling to find the right balance between intervention and fostering innovation? Grania Langdon-Down reports

All Features

Jonathan Goldsmith

What to do about unregulated legal services providers

30 September 2019By

Are you a purist or an accommodationist?

Emma walker

Is the fitness to practise regime fit for purpose?

2019-05-02T10:28:00+01:00By Emma Walker

Procedures could provide vehicle that is needed for regulated professionals to deal with problems before they spiral out of control.

Paul rogerson

Lightening the load

29 April 2019By

City regulation post-Brexit means ‘same outcome, lower burden’ for FCA’s chief executive.

John Hyde byline

Lawyers know the dangers of unqualified advisers. Policy wonks don't

2019-03-28T09:27:00+00:00By

If regulating McKenzie friends is disastrous for the poor, the ‘do nothing’ alternative is worse.

All Opinion

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