All Regulation and compliance articles – Page 6
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NewsAcumen (and make yourself comfortable)
Solicitors Regulation Authority thrusts its hand out again.
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NewsClaims firm investigated over allegations of forged signatures
Company says issues are historical and relate to third-party suppliers.
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NewsFirm’s head barred from profession over client account transfers
Action taken in the same week as SRA orders separation of compliance and management roles.
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NewsSRA recovers just £2m after paying out millions to Axiom Ince clients
Latest figures reveal slow progress in recouping some of the money paid out by the profession.
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NewsSRA to require all law firms to submit annual accountants' reports
Managers and money-holders will no longer be allowed to fill compliance roles as well.
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NewsLaw firm employees get protection to expose misconduct
Regulator says potential whistleblowers can now feel assured that they will not suffer retaliation from bosses.
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NewsRegulator to appeal 'insufficiently severe' sanction imposed on bullying solicitor
SRA reiterates that law firms must protect staff and create a safe working environment.
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NewsCalls grow for greater SRA transparency on complaints 'black hole'
Public left in the dark about the reasons for regulator closing cases.
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NewsManager joked about female colleague’s virginity at staff social
Senior figure also pulled at another colleague’s wheelchair in abuse of seniority.
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NewsSolicitor kept client 'off the books' to pocket fees directly
Experienced practitioner gave his own bank details to client and was paid thousands.
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NewsAlarmed lawyers warn against AI dependency in wake of Pinsents failure
Calls for structural changes in law firms to prevent hallucinations slipping through the net.
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NewsFormer CPS lawyer convicted of child cruelty is struck off
When an individual prosecuting others commits a very serious offence himself, that 'plainly undermines the trust and confidence of the public'.
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NewsEx-solicitor loses bid to return seven years after strike-off
Former lawyer cited years working for unregulated family law firm as proof he could return to roll.
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NewsSRA chair 'sorry' for regulatory failures as search begins for successor
Anna Bradley flags departure after seven years of huge change - and turmoil.
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NewsBullying law firm owner allowed to stay in practice despite 40 proven allegations
Tribunal highlighted a ‘substantial imbalance’ of power and coercion of junior staff members.
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NewsIn depth: LeO names errant firms in fresh batch of complaints decisions
Legal ombudsman publishes examples of poor service to highlight impact on clients and help law firms learn lessons.
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OpinionSouthampton's Spygate scandal can guide our approach to AI misconduct
Understanding the rule is not the same as knowing what happens when you break it.
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NewsSolicitor who made antisemitic tweets allowed to continue in practice
Law firm director said offensive posts about Jewish and transgender people would not be repeated.
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NewsSRA faces £516,000 costs bill for Dentons case
Court of Appeal rejects regulator's contention that no costs order should be made against it for discharging its responsibilities.