All Regulation and compliance articles – Page 2
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NewsPartner suspended for harassing colleague - but SDT allows anonymity
Junior colleague reported feeling humiliated after being harassed during work night out.
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NewsTeam leader disqualified for exposing himself to colleagues
Incident involving non-solicitor employee related to an online training session held in 2022.
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NewsSolicitor acted for claimant and defendant
Practitioner showed a 'cavalier attitude' to the rules of professional conduct, tribunal finds.
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NewsLawyers escape contempt proceedings over fake case citations
Judges point to ‘lamentable failure to comply with the basic requirement to check the accuracy of material that is put before the court’.
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OpinionSchooled by scandal
Shabana Mahmood demands changes to address SRA failures and prevent scandal akin to Axiom Ince from recurring. But how interventionist is the regulator now mandated to be?
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NewsLinklaters employee groped colleague on staff night out
SRA says conduct was serious as it was directed at a junior colleague.
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NewsCompliance officers 'overwhelmed' as SRA dishes out £77k fine
Firm failed to comply with rules on client checks for three years but there was no evidence of any harm.
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NewsEthical issues should not be overstated - Law Society
Solicitors’ representative body insists that most of its members know what good ethics looks like.
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NewsDishonest solicitor avoids strike-off over ‘moment of madness’
Highly-regarded associate said she was in a ‘haze’ due to work pressures and health issues.
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NewsJob done? Here's how to complain: SRA proposes new conduct rule
Solicitors should not be afraid of encouraging complaints, regulator says.
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NewsBarristers to be forced to come clean on client complaints
Information could be collected direct from chambers to improve oversight of complaints-handling, watchdog says.
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NewsSRA chief executive: 'Essential that we learn'
Statement contrasts with combative response to independent review into the collapse of Axiom Ince.
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NewsSRA sanctioned over Axiom Ince failures
LSB issues 'binding directions' designed to ensure regulator identifies and responds to risks more effectively.
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FeatureSafeguarding clients and legal documents: Capita’s partnership with the SRA
(Sponsored content.) Neil Skellam at Capita highlights how the company supports the Solicitors Regulation Authority (SRA) in safeguarding clients by managing, securing, and repatriating critical legal documentation during firm interventions.
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OpinionA smorgasbord of navigable wisdom
Fiona du Feu reviews 'Risk and Compliance Questions and Answers (2nd edition)'.
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NewsVeteran solicitor struck off for concealing bankruptcy
Tribunal says outcome could have been different if 'capable, diligent and competent' solicitor had made frank disclosures.
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NewsScotland to stop unqualified advisers from calling themselves 'lawyers'
Law Society to continue regulating solicitors after Holyrood snubs main recommendation of its own report.
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NewsSolicitor rebuked for no-complaint settlement offers
Regulator says actions of 25-year in-house veteran showed ‘concerning lack of judgement’.
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NewsSDT fines firm £120k for 15-year breaches of AML regulations
Review of eight files found that none had compliant client and risk matter assessments.
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NewsEdith Piaf back at the Cube
Your regulator continues to accept criticism with all the humility of a toddler denying they drew on the walls while holding a crayon.