Compliance & Regulation
Solicitor struck off for single incident of “manifest incompetence”
A solicitor whose incompetence enabled the transfer of an elderly man’s property to fraudsters for no consideration has been struck off, even although it was a single incident in a 19-year career.
SRA uses enhanced fining power for the first time with £15,000 penalty
The Solicitors Regulation Authority has used its enhanced fining power for the first time, imposing a £15,000 fine on a solicitor who failed clients subject to deputyship orders.
Barrister jailed for child sex offences disbarred
A barrister convicted of multiple child sex offences last year and jailed for three and a half years has now been disbarred. He did not know the children he had contacted were not real.
MPs back tougher economic crime fines and oversight for lawyers
MPs have backed giving the Solicitors Regulation Authority unlimited fining powers in cases of economic crime, as well as a new regulatory objective for the Legal Services Act.
Bar Council piles pressure on BSB over Dinah Rose case
The Bar Council has taken the unusual step of criticising the Bar Standards Board for its “unacceptable and inexcusable” handling of a complaint against Dinah Rose KC.
Quarter of firms in SRA review of immigration work face disciplinary action
Ten of the 40 law firms that took part in a Solicitors Regulation Authority review of immigration services have been referred for possible disciplinary action after it found “significant shortcomings”.
BSB apologises to top KC over handling of complaint against her
The Bar Standards Board has issued an apology to leading silk Dinah Rose for its handling of a complaint against her and suggesting she might have been reckless in her conduct.
Solicitors facing ethical disclosure decisions “need more SRA help”
The SRA’s guidance on disclosing confidential information “inappropriately discourages” lawyers from reporting serious misconduct and risks of harm, it has been claimed.
Solicitor struck off after tribunal refuses to go behind US plea deal
A solicitor convicted in the US of conspiracy to commit securities fraud has been struck off after a tribunal refused his attempt to explain why he signed a plea deal.
Solicitor struck off for misusing client money and unauthorised practice
A veteran solicitor who used client money to alleviate his firm’s financial problems and also misled his insurer that he was authorised to practise when he no longer was, has been struck off.
Blog
Beyond PCP: Can regulators and lawyers work better together next time?
Nearly a decade after the Financial Conduct Authority began investigating the car finance industry, the story of the PCP commission scandal is still unfinished.
Accountability has to live within governance, not with one person
The assumption has long been that a COLP or COFA is personally exposed to the consequences of anti-money laundering breaches.
The SRA’s client money reforms: good intentions, questionable execution
On the face of it, the SRA’s plans to tighten protections around client money sounds sensible. The detail, as ever, tells a more complicated story.
