Compliance & Regulation
Senior associate who exposed clients to “unknown risks” struck off
A senior associate who completed a transaction without an executed mortgage deed, exposing both the lender and lay clients to “unknown and unacceptable risks”, has been struck off.
Partner “deliberately misled” client over PI claim she never issued
A partner at a leading personal injury firm who “deliberately misled” an accident victim for five years over a claim she never issued has been struck off.
Law firm fined £11,000 for overcharging DBA clients
A law firm that charged personal injury clients more than it was allowed to when acting under damages-based agreements has been fined nearly £11,000.
SRA to appeal decision to clear Dentons over AML breaches
The High Court looks set to rule on whether a tribunal was right to find that Dentons’ breach of the anti-money laundering rules was “inadvertent”.
Police station rep referred to transgender detainee as “thing”
A police station representative who made offensive comments about a transgender detainee and about immigrants has been made subject to regulatory controls.
BSB slaps down Bar Council over diversity and equality work
The Bar Standards Board has rejected a Bar Council call to take a step back from efforts to improve equality, diversity and inclusion and instead leave it to the profession.
Law firms need to act over new duty to prevent sexual harassment
Law firms will need to rethink their approach to alcohol at events as part of preparing for the new positive legal duty on employers to prevent sexual harassment in the workplace.
Pupil barrister fined for f-word outbursts during online exam
A pupil barrister has been fined £500 for a series of foul-mouthed outbursts at a remote invigilator during an online ethics exam, which ended with him raising his middle finger to the camera.
£36k fine for law firm which let millions pass through client account
A specialist sports law firm has been fined £36,000, and its COFA rebuked, for allowing its client account to be used as a banking facility.
Solicitor leaves roll after misusing dormant client money
A solicitor who transferred £15,000 that was long sat dormant in client account to his firm’s office account has agreed to remove himself from the roll of solicitors.
Blog
Why onboarding has become a strategic priority for law firms
One of the most influential stages of the client journey – client onboarding – often receives less strategic attention than it deserves.
Why law firms are getting AI supervision wrong
The profession’s response to AI supervision failures misunderstands the nature of LLM output – there needs to be for a shift in the culture.
Beyond the PII premium – rethinking risk
Professional indemnity insurance renewal is often treated as an annual pricing exercise. But it is also a chance to show how effectively you identify, manage and mitigate risk.
Reports
Associates
