All Regulation and compliance articles – Page 44
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NewsNational firm hit with SRA’s fourth-largest fine over AML compliance
Ashfords agrees £101,357 penalty despite regulator's admission that no money laundering or financial crime took place.
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NewsConveyancing assistant barred over secret commissions
Employee also offered clients a discount on costs if they paid him in cash.
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NewsSRA 'was warned' SSB Group posed regulatory risk
Creditor asked the Solicitors Regulation Authority to investigate more than six months ago, the Gazette has learned.
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OpinionQuestion time
Now’s your chance to grill the regulator's top brass, as the Commons justice committee announces it will hear evidence on regulation from the SRA.
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NewsSRA is upbeat on AI - but warns firms of risks
Technology has 'very high potential', SRA says in latest assessment of risks.
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OpinionAI’s white-knuckle ride? The bars must jump on
Debates around artificial intelligence are moving quickly. We need to evaluate its impact on our sector, so we can shriek above the din to guide policy-makers.
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NewsSRA admits three-month wait to send inspectors into Axiom Ince
Visit consisted of just two investigators and was not considered an 'urgent' inspection, the Gazette has learned.
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NewsSRA 'risks reputational damage' with legal executives takeover
Chancery Lane says regulator has not properly addressed potential impact of proposals on solicitor profession.
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NewsSRA preparing employer guidance to support in-house solicitors
Employers will be told legal teams need time and budget to help meet competence and regulatory requirements.
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NewsThree firms receive first SRA fixed penalties
Chief executive says new regime saves everyone time, cost and stress.
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NewsClaimant firm’s TikTok ads ruled to be misleading
TMS Legal admitted actors who appeared to be genuine clients featured in advertisements.
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NewsAxiom Ince complaints ‘nothing out the ordinary’, SRA says
Regulator says the accounts of collapsed firm, which is now under investigation by the SFO, were ‘well-ordered’ on their face.
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NewsMPs to grill legal chiefs on regulation
Justice committee to question representative bodies and regulators on performance and relationships.
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NewsFormer trainee solicitor barred over past criminal act
Trainee was midway through his training contract when he was convicted.
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News'No confidence': New front opens in CILEX civil war
Rebuff for CILEX members who demanded special general meeting on plans for SRA to regulate legal executives.
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NewsFormer Deloitte solicitor charged over alleged kiss at office party
Solicitor denies committing misconduct at social event in expensive London hotel.
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NewsSRA's legal executive takeover will confuse public, Society warns
Chancery Lane strongly opposes proposals to bring legal executives under Solicitors Regulation Authority's remit.
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NewsExtra cash call for Axiom Ince compensation 'looking likely', says SRA
Regulator edging closer to deciding on interim payment from solicitors and firms to plug massive hole in client account.
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NewsSRA fines firm where client account did not add up
Shortage of £9,300 on the client account was rectified before the SRA finished its inspection and clients suffered no loss.
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OpinionLetters roundup: 27 October 2023
Axiom Ince, changing the culture on divorce and disclosure warning: your letters to the editor.