All Regulation and compliance articles – Page 4
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NewsSolicitor avoids dishonesty finding after altering cheque date
Practitioner with 'strong sense of loyalty' to clients wanted to complete outstanding work before leaving firm.
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NewsSRA’s shock discovery: Small firms aren’t tech giants
Groundbreaking research confirms water is wet, sky is blue, and small law firms lack Google’s budget.
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NewsConsultant loses latest bid to return to legal profession
SDT rules that banning order must remain as applicant had not showed sufficient remorse or insight.
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NewsSexual misconduct reports to SRA soar
Cases are at an all-time high – but most do not result in any action, the Gazette has learned.
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News‘Panicked’ employee faked TR1 signatures
Post completion assistant was dismissed after fabricating clients’ and lawyer’s signatures on TR1 form.
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NewsIn-house solicitors urged to record reasons for non-reporting to regulator
Regulator’s interest in non-financial misconduct raises new and difficult questions for in-house community.
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NewsSRA hits another firm with £64,000 fine in AML blitz
No evidence of harm done but regulator says breaches lasted for almost six years.
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OpinionWeighing up a lawyer's public shame against open justice
As the Solicitors Disciplinary Tribunal closes itself off from scrutiny, anonymity applications may increase.
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NewsSRA fines going unpaid, new figures suggest
Unpaid fines total over £1m, prompting regulatory specialist to call for discounts for prompt payment.
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NewsConsumer watchdog bemoans client ignorance of complaints process
Legal Services Consumer Panel survey reveals widespread public confusion over how to report poor service.
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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.