All Regulation and compliance articles – Page 11
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NewsFormer SRA director calls on Philip or Bradley to go
If the chair and/or chief executive will not quit, the non-executive directors should resign, respected sector figure says.
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NewsSolicitor wins appeal against SRA’s harsh rebuke
SRA spends £16,000 unsuccessfully defending adjudicator’s decision over letter to former client.
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OpinionMore regulation is no longer the answer
The more that someone is regulated, the less responsibility that person takes for decisions, on the basis that what is not against the rules can be done.
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NewsFull cost of Axiom Ince investigation revealed for the first time
Final cost of LSB probe comes in much higher than initially estimated.
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NewsAnother blow to SRA as tribunal dismisses historical charges
For the third time this year, the regulator has failed with a prosecution relating to alleged breaches of accounts rules or money laundering regulations.
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NewsAxiom administration set to cost £3m and last four years
Administrators reveal they have reached a confidential agreement with the SRA to use some asset realisations to cover expenses.
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NewsSidhu sees off some misconduct charges - but others remain
Lawyers for Jo Sidhu KC argued there was 'no case to answer' and bar tribunal should be cautious about ruling on matters in personal relationships.
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NewsBarrister who ignored suspension 'not fit' to stay in profession
Peter Wareing said sanction was too severe but judge upholds tribunal decision.
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NewsSRA tells in-house lawyers they must report wrongdoing
Post Office scandal fallout prompts new ethical guidance for the 34,500 in-house solicitors.
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NewsSRA to be urged to go further on AML crackdown
Legal Services Board expecting a ‘step change’ in effort to clamp down on lawyers’ involvement.
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OpinionEnsuring the regulator is properly regulated
The SRA is in danger of losing the trust and confidence of the entire profession. How can proper regulation take place in such circumstances?
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NewsBarristers rebel over 'advance equality' duty
Bar Council says the proposal is unclear, counterproductive and potentially unlawful.
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NewsFirm that couldn’t find old AML documents fined £12k
SRA sanctions Devon firm despite being shown compliant current documents.
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OpinionLetters roundup: 15 November 2024
Mental health support for employees, saving historical documents and professional integrity: your letters to the editor.
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OpinionBalancing innovation and regulation as AI marches on
Joanna Goodman reviews 'Living with the Algorithm: Servant or Master? AI Governance and Policy for the Future' by Tim Clement-Jones.
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NewsSidhu made hotel room incident 'so normal', tribunal hears
Person 2, who undertook a mini-pupillage with former Criminal Bar Association chair, told the five-person panel she knew what happened with top silk ‘was wrong’.
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NewsSRA wants to stop solicitors pocketing interest on client money
Firms continuing to profit from holding cash on behalf of clients is no longer appropriate, regulator says in long-awaited consumer protection consultation.
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NewsBarrister who accepted client's money rightly suspended, rules judge
Barrister of 42 years had argued the tribunal did not consider his experience and clean record.
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News£57k in fines in two days: SRA ramps up AML action
Firms from Oldham, Surrey, London, Wolverhampton and Birmingham all sanctioned.
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OpinionBulldog spirit
Does the storied demise of Axiom Ince sound the death knell for the client account?