All Regulation and compliance articles – Page 20
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NewsSRA confirms hikes in compensation fund levies
Fund reserves will be restored over the next three years after costly interventions.
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NewsManaging partner diverted pension contributions to prop up firm
Regulator investigated south-west firm after complaints from four members of staff.
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NewsFirm owner who admitted ‘winging it’ struck off the roll
Inexperienced director used client money to prevent firm’s debt tipping over limit.
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NewsFirm director rebuked over conviction for assaulting neighbour
SRA accepts incident over late night music volume was an isolated incident.
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NewsCILEX and SRA enter final stages of regulatory takeover plan
CILEX board decides regulatory redelegation remains in the public interest - but final decision will be made in October.
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NewsSRA not to appeal dismissal of money laundering case
High Court had thrown out regulator's appeal against SDT ruling.
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NewsSRA shuts down London firm after three fines in two years
Regulator says owner failed to comply with the code of conduct and insurance rules.
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NewsFirm fined £10,700 for over-charging from damages
Firm charged 35% on at least 26 client files when DBA regulations limit deductions to 25%.
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NewsSRA challenges Dentons tribunal ruling
SDT decision in money laundering compliance case left regulator with hefty costs bill.
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OpinionThe government is chasing growth, with implications for law and regulation
Chancellor Rachel Reeves has announced the biggest change for the stock exchange in more than 30 years.
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NewsSRA ban on police station representative who made offensive comments
Regulator says non-solicitor was working in the name of solicitors so expected to act with high ethical standards.
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NewsFirm fined £36,000 for allowing more than $4m to be paid into client account
London-based practice self-reported to the Solicitors Regulation Authority over the ‘isolated incident’.
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NewsTrainee who blew whistle to SRA awarded £36,000 for unfair dismissal
Employment tribunal judge said whistleblower ‘genuinely believed…it was in public interest for the firm to be held accountable'.
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OpinionCalled to account
Election purdah and the nascent holiday season have muted the news klaxon somewhat. So the reprise of a couple of golden oldies is welcome.
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NewsCriminal bar firebrand Sidhu stops practising
Jo Sidhu KC, chair of the Criminal Bar Association in 2022, no longer appears on the barristers register, regulator confirms.
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NewsAxiom Ince: super-regulator still not ready to report
Publication 'as soon as due process has been completed', Legal Services Board says.
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NewsIn depth: SRA bides its time on CILEX coup
The SRA has formally announced that it wants to regulate Chartered Institute of Legal Executives members, arguing that this is in the public interest. But with the Law Society Council holding an effective veto, could the future of legal services regulation be at stake?
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FeatureDecisions and interventions
Decisions filed recently with the Law Society (which may be subject to appeal).
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NewsConveyancers warned over post-completion work
Specialist regulator says some members not taking their responsibilities seriously and using Land Registry to check their work.