All Regulation and compliance articles – Page 4
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NewsProbate solicitor paid his £77,000 tax bill with client funds
Practitioner abused his position of authority over three years with ‘deliberate and calculated’ misconduct.
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NewsFCA and SRA warn claims firms on excessive exit charges
Joint statement says fees for terminating retainer must be clearly stated up front.
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News‘Clear your desk and go’: The overnight closure of PM Law
Clients cast adrift after staff were locked out of IT systems and told to put up the ‘closed’ signs. For now, confusion reigns.
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NewsFirm fined £68,000 for processing CA$23m through client account
SRA found there was no proper connection between legal services provided and money passed through client account.
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NewsStaff in despair as 20-practice network shuts suddenly
Reports indicate that Yorkshire and Cumbria outfit PM Law has ‘not closed in the manner we would expect’, SRA says.
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OpinionLong winter of discontent for the SRA as problems pile up
The past month has exposed fundamental issues with the regulator which need urgent attention.
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NewsSRA must pay Carter-Ruck partner costs in failed 'SLAPP' case
Practitioner subject to ‘legally flawed’ SRA proceedings is claiming around £1 million from regulator.
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NewsRegulator eases practising rights rules amid post-Mazur delays
Practising rights entry rules relaxed as more groups join upcoming Court of Appeal proceedings.
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NewsSolicitor 'motivated by resentment' banned for deceiving friend
Property specialist had falsely messaged to say that sale of jointly owned property had not yet been completed.
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NewsPre-Mazur advice 'not always articulated with sufficient precision', LSB concludes
Super-regulator says professional bodies should have been working together to arrive at a shared position.
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NewsCourt upholds £50,000 ombudsman award to complaining clients
Judge says solicitor was not entitled to court-style disclosure in the ombudsman process.
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NewsHigh volume claims: SRA investigates 72 firms
Warning notice sets out what regulator expects firms to be telling no win, no fee clients.
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NewsFormer coroner struck off for downplaying rape allegation
Criminal allegations were not pursued but tribunal finds phone call to explain them was dishonest.
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NewsMissed promotions and stranded jobseekers: practitioners sitting in post-Mazur limbo
Practitioners tell the Gazette of feeling humiliated and demoralised by their diminished status - and how it is damaging their careers.
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NewsSRA hit with £50,000 costs order after botched prosecution
Tribunal says SRA investigator was ‘evasive’ and ‘combative’ at times during cross-examination.
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NewsAction needed to save City, says lobby group
UK cannot afford to be complacent amid falling output and productivity and fundamental global changes.
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NewsIn depth: SRA on the ropes over alleged SLAPPs after third defeat
The Solicitors Regulation Authority is licking its wounds over three failed SLAPP prosecutions. Yet amid possible appeals and ‘eye-watering’ costs, the case for new legislation has gained momentum.
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NewsTreasury urged to rethink on tax adviser registration
Council for Licensed Conveyancers says tightly regulated members are not permitted to give tax advice.
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NewsLegal executives in limbo amid authorisation delays
CILEx Regulation says process of obtaining practising rights takes nine weeks on average - practitioners disagree.
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NewsStrike-off for failing to verify known client's ID in person
Meeting a client in person is ‘fundamental’ to certification process, Solicitors Disciplinary Tribunal rules.