Report comment

Please fill in the form to report an unsuitable comment. Please state which comment is of concern and why. It will be sent to our moderator for review.

Comment

The Report would be more useful if it identified the basis for the disciplinary action. It says p.7 "In six of the most serious cases we have taken firms into our
disciplinary process." p.26 it says that of five firms that "had difficulties separating the concepts of source of funds and source of wealth" two had been reported "(as there were also other concerns)" also unidentified. That's it - what about the other 4?
These must be serious issues, with which the SRA has discovered firms are non-compliant. Are they going to tell us so we can be compliant or keep them secret so they can refer more firms for disciplinary action?

Your details

Cancel