Compliance & Regulation
Complaining to the SRA? Don’t expect a quick reply
Members of the public and firms reporting concerns to the SRA will have to wait up to two months for a response, twice the time it was at the start of the year.
Partner who fabricated documents he gave to SRA struck off
A law firm partner has been struck off for fabricating documents to mislead the SRA about his role in mismanaging a client’s personal injury trust.
Solicitor who misled firm about client loans fails in strike-off appeal
A solicitor struck off for multiple rule breaches, including that he actively concealed from his employer the fact that he had taken loans from clients, has failed in his appeal.
Tribunal sends message over sexual harassment at the Bar
Sexual harassment at the Bar that “might have been tolerated and even expected in the past is no longer acceptable”, a disciplinary tribunal has said – but “regrettably, such behaviour is still widespread”.
Accountants set to start administering oaths
Chartered accountants are finally to get the right to conduct the reserved legal activity of administering oaths, six years after their regulator gained the power to grant it.
Reynolds corrects official record over calling himself a solicitor
Business secretary Jonathan Reynolds has officially corrected the House of Commons record for describing himself as a solicitor, amid continuing jabs from the Conservatives.
London office of top US firm fined £300k for AML failures
A leading US law firm has been fined £300,000 for failing to have anti-money laundering risk assessments and procedures in place in its London office.
Lawyers worried by over-reliance on SRA discretion post Dentons
Specialist regulatory lawyers have expressed concern that the High Court ruling in the Dentons case places too much reliance on the SRA’s view of the seriousness of rule breaches.
CLC deprecates “apology” by disqualified conveyancer
Disqualified licensed conveyancer Lloyd Davies did not “accurately” reflect the agreed facts of his case in his public statement about it, his regulator said yesterday in an unusual move.
Court: Solicitors’ breaches of AML rules “strict liability offences”
Breaches of AML rules are effectively strict liability offences and the SRA does not need to show severity to prove misconduct, the High Court ruled yesterday.
“Clear evidence” that solicitor apprenticeships aid social mobility
There is now “clear evidence” that solicitor apprenticeships are facilitating social mobility, analysis by the Solicitors Regulation Authority has shown.
SRA’s Philip says retirement plan predated Axiom Ince
The retirement of SRA chief executive Paul Philip has nothing to do with the Axiom Ince scandal, he has emphasised. Meanwhile, the chair of the BSB is stepping down too.
Solicitor cannot base victimisation claim on firm’s report to SRA
A solicitor cannot base a victimisation claim against her law firm at the employment tribunal on it reporting her to the Solicitors Regulation Authority, a judge has ruled.
Firm and two partners fined £50k for offering banking facility
A law firm and two of its partners have been fined nearly £50,000 between them for allowing two wealthy clients to use its client account as a banking facility.
MP: SRA needs to be empowered to crack down on lawfare
There is a “clear consensus” in Parliament that the SRA must “feel empowered” to crack down on instances of ‘lawfare’, an MP said yesterday.
Blog
The cost of systemic failure and childbirth injuries
Recent reports show that the NHS has paid almost £3.5bn in medical claims around childbirth injuries over the past six years.
Mazur: when regulators make simple things complicated
What the last six months have shown is that supervision cannot be treated as a background compliance obligation quietly managed somewhere in a firm’s operational processes.
How unstoppable AI is reshaping UK legal practice
At a time when most technology innovation still flows from the US and China, UK lawtech is attracting growing international attention and capital.
