Regulation and compliance – Page 6
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Axiom Ince: Big five law societies call for compensation cap
Joint V societies say SRA should use its discretion to limit the burden on the profession.
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Solicitor fined and ordered to pay £4,000 costs following self-report to SRA
Practitioner was not aware of a 2019 rule change regarding acting without pay for family and friends without PII.
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Ex-Mirror Group lawyer probed over phone hacking knowledge
SRA looking into possible action in relation to in-house lawyer Marcus Partington.
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Manager applied for firm’s partners to be removed from roll
Accounts manager is barred from working in the profession under a section 43 order.
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Firm hit with first SRA fixed fine for late diversity data
Regulator wants to process low-level breaches more quickly to save time and money.
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Barred paralegal had ‘casual’ approach to dating documents
Section 43 order imposed after judge described the practice of backdating documents as ‘frightening’.
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Ex-equity partner leaves roll after covering up work relationship
Solicitor ignored agreement not to contact colleague during firm’s investigation, SRA decision notice reveals.
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Review of SRA’s handling of Axiom Ince will be completed by the spring
LSB appoints Northern Ireland law firm to make an assessment of the Axiom collapse.
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Hogan Lovells partner to be City watchdogs’ watchdog
Rachel Kent to begin five-year stint as financial regulators complaints commissioner in January.
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Finance boss duped new firm about £600,000 fraud conviction
SRA finds disgraced former accountant was dishonest and posed a risk to the reputation of his employer.
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Two more firms fined thousands over AML failings
Sanctions again issued despite no evidence of any harm done by shortcomings in compliance procedures.
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Solicitor’s indefinite suspension lifted after 15 years
Wales property specialist says his desire to get back into the profession had been 'reawakened'.
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Solicitor banned for a year for sexual touching of paralegal
Solicitor, then 53, also rubbed 21-year-old on the shoulders once or twice a day, tribunal hears.
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Women make up 37% of law firm partners, new SRA figures show
Slow improvement in racial and gender diversity continues, according to statistics from the SRA’s biennial collection of diversity data.
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LSB pledges to ‘step up’ oversight of regulators
Several areas for improvement will be set out in assessment to be published by the oversight regulator next month.
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Consumer protection held back by titles such as 'solicitor', says watchdog
Legal Services Consumer Panel condemns 'labyrinthine maze' of legal services regulation.
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SRA hailed as ‘most sophisticated, mature’ regulator by overseer
Strong indication from Legal Services Board that it would approve merging of professions.
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SRA ducks and dives before depleted justice committee
Only four MPs turned up for the questioning of the Law Society and two regulators.
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LSB plans independent review of Axiom Ince disaster
Law Society says solicitors should not pay a penny more until causes of shortage are known.
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Exclusive: Liverpool solicitor Makin named as ‘AB/X’ in anonymity case
Judge throws out appeal, allowing Robin Makin to be named in connection with misconduct allegations referred to SRA.