All Regulation and compliance articles – Page 29
-
NewsMidlands firm fined £46,000 for AML shortcomings
Financial penalty set at 1.6% of income despite no evidence of harm to clients or third parties.
-
NewsBogus asylum claims: most firms have 'robust' client vetting systems, SRA probe finds
One in 10 clients turned away by firms offering immigration and asylum services, thematic review reveals.
-
NewsOmbudsman misses key targets but happy with progress
Complaints handler also reveals area of law that attracts the most consumer grievances.
-
NewsLegal regulators at loggerheads, ‘hostile’ exchanges show
Relations between the Bar Standards Board and the oversight regulator 'worsening by the day'.
-
NewsSRA confirms hikes in compensation fund levies
Fund reserves will be restored over the next three years after costly interventions.
-
NewsManaging partner diverted pension contributions to prop up firm
Regulator investigated south-west firm after complaints from four members of staff.
-
NewsFirm owner who admitted ‘winging it’ struck off the roll
Inexperienced director used client money to prevent firm’s debt tipping over limit.
-
NewsFirm director rebuked over conviction for assaulting neighbour
SRA accepts incident over late night music volume was an isolated incident.
-
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.
-
NewsSRA not to appeal dismissal of money laundering case
High Court had thrown out regulator's appeal against SDT ruling.
-
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.
-
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%.
-
NewsSRA challenges Dentons tribunal ruling
SDT decision in money laundering compliance case left regulator with hefty costs bill.
-
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.
-
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.
-
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’.
-
-
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'.
-
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.
-
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.