Compliance & Regulation

Solicitor rebuked over referrals from genealogists

18 May 2022

A solicitor has been rebuked for taking referrals from a genealogy business that acquired clients in a way that a law firm would be prohibited from doing.

Solicitor fined for failing to pay thousands in counsel’s fees

17 May 2022

A solicitor who has failed to pay thousands of pounds in outstanding fees to counsel has been fined by the SRA, with others fined for accounts and transparency rules breaches.

Paralegal jailed for stealing £438k from law firm to feed gambling habit

16 May 2022

A former paralegal at national law firm BLM has been jailed for three years and three months after pleading guilty to stealing £438,000 from the firm to feed his gambling habit.

MPs and peers urge bigger fines for lawyers who break AML rules

13 May 2022

MPs and peers have called for “a radical overhaul” of anti-money laundering supervision, with regulators of lawyers urged to issue wrongdoers with “bigger, more public” fines.

Plan to reduce time limit for complaints to LeO “goes too far”

13 May 2022

A proposal by the Legal Ombudsman to cut the time limit for consumers to bring a complaint from six years to one “goes too far”, the Bar Standards Board has argued.

Solicitor who caused 25 claims on compensation fund struck off

12 May 2022

The Solicitors Disciplinary Tribunal has struck off a solicitor whose conduct has led to 25 claims on the SRA Compensation Fund totalling £750,000 from conveyancing clients.

Law firms selling funeral plans “may need FCA regulation”

12 May 2022

Law firms selling pre-paid funeral plans as intermediaries may need to be regulated by the Financial Conduct Authority, the Solicitors Regulation Authority has warned.

SRA disciplinary decisions could stay in public domain for longer

11 May 2022

Details of disciplinary and other regulatory action taken by the Solicitors Regulation Authority could be published for longer than the current three years to combat misinformation online.

Listed compliance company targets law firms with acquisition

11 May 2022

Listed company Marlowe has made Compliance Office – a business that advises law firms on compliance with Solicitors Regulation Authority rules – the latest addition to its fast-growing legal arm.

Judge tells regulators to use summary processes against vexatious litigants

10 May 2022

Legal regulators need to have summary processes in place to deal with vexatious litigants who use their procedures to continue a “proxy war” against lawyers, a High Court judge has said.

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