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Regulation and compliance – Page 9
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NewsFirm fined after failing to deal with residual client money
SRA says annual letters to clients would have raised red flags about processes.
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NewsEversheds director cleared of Zoom ‘espionage’
Tribunal found Ronald Paterson was entitled to listen in to meeting discussing client’s future.
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NewsBarrister disbarred for hiding drink-driving conviction
Carly Walters was already serving a six-month suspension for drink-drive convictions.
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NewsSRA 'holds itself accountable', Conservatives told
Solicitors Regulation Authority chief cautions against regulators being individually accountable to government.
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NewsSRA finally shuts down Axiom Ince through intervention
Speculation grew over the weekend that the firm could no longer operate as insurance cover had expired.
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NewsAML supervisor? Give us the job, LSB tells Treasury
Responsibility for holistic supervisory regime should go to the existing super-regulator, LSB says in consultation response.
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NewsDorset firm slapped with £45,000 fine for claims failings
Firm specialising in bank refunds submitted inaccurate information and acted where clients had told it to stop.
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News'Demonstrable misogyny' required strike-off, tribunal reveals
In 82-page written judgment, tribunal outlines reasons for striking off solicitor who took advantage of 18-year-old colleague.
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NewsSRA coffers are on a roll
SRA’s keeping of the roll exercise for 2023 has now concluded, with around 27,000 names removed from the list.
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NewsSRA moves in to manage affairs of closed firm
Parrott & Coales had been the last of the Metamorph group to stay trading.
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NewsHigh Court judge given formal warning over late judgment
Judicial Conduct Investigations Office warning relates to a ruling issued more than a year after intial hearing.
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NewsSRA board members get hefty pay rises
Across-the-board increases as high as 50% reflect 'reality of need to keep and attract a diverse group'.
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NewsLaw firms and banks ‘at risk’ of sanctions breaches
Legal practices finding it ‘really difficult’ to employ the right compliance staff, Law Society conference hears.
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News'We did what we had to': SRA chief content with Axiom Ince action
SRA suspended directors weeks after Axiom Ince secured deal to buy Plexus Legal.
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NewsCashier who stole thousands from her firm is banned
Partners reported sleepless nights trying to deal with fallout from employee’s fraud.
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NewsSRA concerned solicitors abetting false asylum claims
Warning notice makes clear that solicitors must challenge clients trying to game the system.
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News'Unacceptable behaviour': ex-president severs ties with CILEX
Stephen Gowland, who is a non-executive member of the Legal Services Board and a tribunal judge, is furious that he was not updated about judicial mentoring scheme.
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NewsSolicitor charged by SRA over Covid vaccine letters
Regulator alleges that Yorkshire solicitor relied on professional standing and sent misleading letters.
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NewsRegulators defend 'counter-inclusive misconduct' statement
International Bar Association director tells diversity conference she has seen proliferation of charters but 'proof is in what then unfolds'.
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NewsSRA renews Capsticks contract for another three years
Two national firms appointed to advise regulator after competitive tender process.