All Regulation and compliance articles – Page 30
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NewsEmployer acting improperly? SRA publishes in-house guidance
Reporting concerns about wrongdoing and handling internal investigations covered in draft resources.
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NewsApathy and ignorance around legal ethics 'root causes' of misconduct
Academic says whole attitude to ethics in the profession has to change.
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NewsEx-solicitor Blacker banned after inquiry into his advice charity
Charity Commission acts to prevent Alan Blacker acting as a trustee for 15 years.
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NewsRevealed: Fines mount up as SRA cracks down on AML breaches
Severity and frequency of fines has risken starkly in the last six months, new analysis shows.
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NewsSolicitor who cut corners on witness signatures is struck off
Tribunal urges newly-qualified solicitors to exercise caution before professing to be an expert.
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NewsSRA has 'lost sight of context' on prosecution, Dentons tells tribunal
Firm says it did not breach anti-money laundering guidance or rules that were in place 10 years ago.
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NewsLegal secretary barred over county lines drug conviction
Employee had driven her former boyfriend to facilitate his drug dealing on at least four occasions.
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NewsNDA campaigners say case for reform now ‘overwhelming’
Call comes after damning report into non-disclosure agreements by the LSB.
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NewsDrunk law firm employee punched steward at FA Cup match
SRA says rebuke was sufficient punishment for administrator who admitted assault and showed insight and remorse.
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NewsThree-partner firm slapped with £23k fine for AML oversights
SRA found no evidence of harm but said failures to carry out risk assessments went on too long.
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NewsLSB reveals initial budget estimate for Axiom Ince review
Northern Ireland firm is engaged in reviewing the SRA’s response to last year's collapse.
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NewsImmigration solicitor caught in BBC sting appeals strike-off
Ex-solicitor, who appeared in court yesterday, claims he was ‘play acting’ and that recordings were tampered with.
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NewsSuper-regulator publishes evidence of 'devastating impact' of NDAs
Evidence of NDAs being used to 'cover up illegal conduct, promote imbalances of power and restrict access to justice' unveiled by LSB.
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NewsCILEx v CILEX v Rex?
Could His Majesty King Charles III be dragged into the row over moves by CILEX to divorce its regulator?
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NewsLondon firm hit with third SRA fine in less than two years
Practice failed to comply with transparency rules and to submit diversity data.
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NewsSolicitor who acted in personal capacity without firm’s knowledge struck off
Practitioner admitted requesting and receiving money from six clients.
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NewsNews focus: Judgment week for the regulators
The Legal Services Board has unveiled its critique of eight frontline regulators, with the SRA one of ony two to receive top marks. Its report also calls for improvements in transparency, skills and use of evidence.