Compliance & Regulation

Litigator who misled client, firm and court about cases struck off

28 February 2024

A solicitor who lied to her institutional client, her employer and the court to cover up her failure to progress cases has been struck off.

Solicitor struck off over LPA signature short-cuts

27 February 2024

A solicitor who submitted two lasting powers of attorney to the Office of the Public Guardian showing she had witnessed the donor’s signatures – when she had not – has been struck off.

Solicitor struck off for antisemitic and offensive tweets

23 February 2024

The Solicitors Disciplinary Tribunal today struck off the practitioner it found earlier this week had published antisemitic and offensive posts on Twitter.

Clyde & Co “failed to reflect on its own failures” in AML case

23 February 2024

City firm Clyde & Co “failed to reflect on its own role” in AML rule breaches until a late stage and sought instead to blame one of its partners, the Solicitors Disciplinary Tribunal has held.

Barrister “recklessly misled” BSB in applying for practising certificate

22 February 2024

A barrister who “recklessly misled” the Bar Standards Board into giving him a practising certificate by falsely stating that he was a door tenant at a set of chambers has been disbarred.

Berkshire firm hit with £16k fine for AML compliance failures

22 February 2024

A law firm that did not have sufficient anti-money laundering controls in place for nearly six years has been fined £16,000 for its failures.

SDT rules that solicitor posted antisemitic tweets

21 February 2024

The Solicitors Disciplinary Tribunal yesterday upheld allegations that a solicitor published antisemitic and offensive posts on social media and also abused SRA staff.

Biggest and smallest regulators top LSB performance assessment

20 February 2024

Only the biggest and smallest legal regulators – the Solicitors Regulation Authority and Costs Lawyer Standards Board – have ‘passed’ their annual performance assessments by the Legal Services Board.

Government rejects major changes to SARs regime

20 February 2024

The Home Office has rejected changes proposed by the Law Commission almost five years ago, which would have introduced statutory guidance on the suspicious activity reports.

Ministers ask LSB to set out strategy on AI use in legal sector

16 February 2024

Ministers have asked the Legal Services Board to outline how it plans to approach the regulation of artificial intelligence in the sector by the end of April.

Solicitor fined £10,000 for directing client’s fees to own bank account

16 February 2024

An experienced solicitor has been fined more than £10,000 for taking payments from a client into his own bank account after striking an agreement with the SRA.

New ICO certification for lawyers gives “certainty” on data processing

14 February 2024

The Information Commissioner’s Office has approved a certification scheme which it says will provide law firms, chambers and others with “certainty” when processing personal data.

Scotland edges closer to full-blooded ABSs

13 February 2024

Reforms to the way legal services are regulated north of the border, including the introduction of alternative business structures with majority non-lawyer ownership, moved a step closer last week.

Show some “energy” to tackle ethics concerns, LSB chief tells regulators

13 February 2024

The “lack of energy” from legal regulators to deal with what appears to be strategic failures of regulation is becoming “mildly ridiculous”, the chief executive of the LSB has argued.

NDA and SLAPP misuse continuing despite regulatory warnings

12 February 2024

Solicitors are still engaging in dubious practices around non-disclosure agreements and strategic lawsuits against public participation, despite regulatory warnings, it was claimed last week.

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The path to partnership: Bridging the gender gap in law firms

The inaugural LSLA roundtable discussed the significant gender gap at partner level in law firms and what more can be done to increase the rate of progress.

Why private client solicitors should work with financial planners – and tell their clients

Ever since the SRA introduced the transparency rules in 2018, we have encouraged solicitors to not just embrace the regulations and the thinking behind them, but to go far beyond.

A paean to pupils and pupillage

To outsiders, it may seem that it’s our horsehair wigs and Victorian starched collars that are the most unusual thing about the barristers’ profession. I would actually suggest it’s our training.