All Regulation and compliance articles – Page 5
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NewsBarristers to be forced to come clean on client complaints
Information could be collected direct from chambers to improve oversight of complaints-handling, watchdog says.
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NewsSRA chief executive: 'Essential that we learn'
Statement contrasts with combative response to independent review into the collapse of Axiom Ince.
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NewsSRA sanctioned over Axiom Ince failures
LSB issues 'binding directions' designed to ensure regulator identifies and responds to risks more effectively.
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FeatureSafeguarding clients and legal documents: Capita’s partnership with the SRA
(Sponsored content.) Neil Skellam at Capita highlights how the company supports the Solicitors Regulation Authority (SRA) in safeguarding clients by managing, securing, and repatriating critical legal documentation during firm interventions.
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OpinionA smorgasbord of navigable wisdom
Fiona du Feu reviews 'Risk and Compliance Questions and Answers (2nd edition)'.
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NewsVeteran solicitor struck off for concealing bankruptcy
Tribunal says outcome could have been different if 'capable, diligent and competent' solicitor had made frank disclosures.
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NewsScotland to stop unqualified advisers from calling themselves 'lawyers'
Law Society to continue regulating solicitors after Holyrood snubs main recommendation of its own report.
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NewsSolicitor rebuked for no-complaint settlement offers
Regulator says actions of 25-year in-house veteran showed ‘concerning lack of judgement’.
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NewsSDT fines firm £120k for 15-year breaches of AML regulations
Review of eight files found that none had compliant client and risk matter assessments.
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NewsEdith Piaf back at the Cube
Your regulator continues to accept criticism with all the humility of a toddler denying they drew on the walls while holding a crayon.
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NewsEx-solicitor loses appeal after Google search spewed out fake cases
Judge says court needs to take ‘decisive action’ to protect integrity of its processes from fake citations.
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NewsSRA imposes record £4m fine on former law firm boss
Regulator says dishonesty at defunct consolidator firm impacted thousands of people.
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NewsSolicitor who ran mesh claims facing multiple charges
Darren Hanison alleged to have misled clients on costs and failed to ensure they had ATE insurance.
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NewsEthics framework to 'empower' in-house community
Resource designed to support solicitors meet their regulatory and ethical responsibilities.
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NewsSRA to step up AML offensive as firms still ‘not getting message’
Chief executive Paul Philip pledges to ‘ratchet up’ consequences of failing to meet obligations.
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NewsNo more drink-drive fines: SRA swerves on solicitor sanction
Cases will receive a warning or rebuke unless misconduct is considered worthy of the tribunal.
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NewsSolicitor struck off over rape conviction
Tribunal finds 'no words within the lexicon of regulatory and disciplinary conduct adequate to express the damage the respondent had caused'.
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NewsRoyal stamp of approval for ‘CILEX chartered lawyers’
Law Society also ’deeply concerned’ about further step towards SRA regulation of paralegals.
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NewsFormer Eversheds employee tried to invoice pro bono client
Project coordinator said he was motivated to help the firm recover costs and gained nothing from misconduct.
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NewsLSB tightens grip on bar regulator over reform delays
Legal Services Board escalates enforcement action and will open talks on new undertakings.