All Regulation and compliance articles – Page 15
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NewsCompliance officer and firm each fined £25,000 for multiple rule breaches
Residual balances left unchecked, client account shortfalls and non-compliance with AML regulations.
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FeatureBeware the rising tide of environmental and human rights litigation
Companies face complex challenges as ESG-related legislation and regulation becomes an ever-increasing focus for governments and regulators across the globe.
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NewsCity solicitor's KC slams 'defective' SRA as tribunal throws out allegation
Defending a Baker McKenzie lawyer, Greg Treverton-Jones KC accuses 'inconsistent' regulator of trying to ‘throw the book’ at his client.
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NewsFriends reunited as SRA chief jumps ship
Deputy chief executive Juliet Oliver moves on after 10 years at the regulator.
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NewsSRA shuts down high-profile influencer's firm over dishonesty suspicion
Regulator had already brought prosecution against entrepreneur, author and podcaster, who has been suspended.
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OpinionFeeding the machine
James Wilson reviews Chris Reed's AI Fairness and Beyond: Law, Regulation and Technology.
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NewsCity firm cleared by SDT left with £291,000 costs bill
Solicitors Disciplinary Tribunal made no cost order following six-day hearing of AML charges.
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NewsBarristers' 'zeal' for their clients putting ethics in doubt
Matters such as the Post Office scandal have highlighted issues with duty to the court, suggests regulator.
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NewsLaw firms warned about risks of sham litigation
SRA issues guidance on detecting and preventing money laundering perpetrated through fake litigation.
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NewsLPA firm investigated by BBC silent on legal action threat
Firm said last month it was considering suing the broadcaster, while denying allegations of misconduct.
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Feature25 things for solicitors to look out for in 2025
Post Office Inquiry's ramifications for professional ethics, M&A mania, a busy year in the Supreme Court and the Law Society's bicentenary.
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NewsTrainee barred for misleading firm about request for leave
Firm was told after leave was taken that trainee had actually been at a court hearing.
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NewsCILEX still havering on SRA regulatory takeover
Chartered body will announce next steps once it has received further guidance from Legal Services Board.
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NewsHong Kong convicts first solicitor for secrecy breach
Confidential information about fraud probe was shared with two individuals, Hong Kong court hears.
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NewsStruck-off solicitor slams national firm's 'toxic environment' in parting shot
Regulator does not endorse comments made by solicitor who lied to clients about case progression.
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NewsParalegal barred for trying to cover up missed emails
Employee was supposed to send client trade mark reminders but had not completed this task.
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NewsSolicitor suspended for a year over accounts rules breaches
‘Client money is sacrosanct,’ agreed outcome judgment states.
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OpinionEthics 101
Regulators must ask themselves what role they play in the wider ethical ecosystem of the law.
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NewsStrike-off for solicitor who asked clients to pay fees into personal bank account
Solicitors Disciplinary Tribunal allows respondent to be anonymised in agreed outcome judgment.