Compliance & Regulation
Tribunal rejects solicitor’s appeal over failed exam
The First-tier Tribunal has rejected an appeal by a solicitor who failed the exam to become an immigration law adviser and said he should not have had to take it in the first place.
Mazur: SRA breaks silence and lawyer cites it to justify bill
The Solicitors Regulation Authority has broken its silence on the Mazur case to stress that it has not changed the existing legal position.
Lawyers question whether High Court got Mazur right
Lawyers have been questioning whether the High Court was right in its contentious ruling in Mazur on the conduct of litigation, with the CPR key in the debate.
AML changes will heap “significant compliance burdens” on firms
Government changes to anti-money laundering rules around pooled client accounts could cause “significant and uncertain compliance burdens” for law firms.
Strike-off for solicitor who gave SDT false statement of means
A solicitor who completed a “false and misleading” statement of means for a Solicitors Disciplinary Tribunal hearing has been struck off.
Hacked law firm and barristers named in second wave of LeO decisions
The Legal Ombudsman has today published 10 of its final decisions in full, only the second release of public interest findings, and names barristers for the first time.
Solicitor fined for letting down clients over off-plan investments
A solicitor who failed to advise clients on the risks of off-plan, buyer-led investment schemes has been fined £17,000 by the Solicitors Regulation Authority.
Mazur ruling already being cited in court, senior judge reveals
The Senior Costs Judge has revealed that the Mazur case has already been cited before him and suggested that legal professional privilege could be a problem when dealing with the argument.
LPC pass rate slumps as course winds down
Pass rates on the legal practice course slumped from 57% to 42% in the year to 31 August 2024, newly released figures from the Solicitors Regulation Authority have revealed.
Veteran solicitor suspended for year over accounts chaos
A veteran solicitor who said she was wrong to continue running her firm after the death of her husband – who worked with her in the business – has been suspended for accounts rule breaches.
High Court: Solicitor “turned blind eye” to money laundering concerns
A partner at a London law firm “dishonestly assisted” in misappropriating a company’s funds by turning a blind eye to money laundering issues raised by property transactions, the High Court has ruled.
SQE provider pass rates “must be published as soon as possible”
The interim chief executive of the Legal Services Board has called on the Solicitors Regulation Authority to publish data on SQE pass rates by provider “as soon as possible”.
Advertising watchdog upholds complaints against group action law firms
The Advertising Standards Authority has upheld complaints against three law firms over misleading websites and online advertising for group actions.
SRA checking if it gave others wrong advice like in Mazur case
The Solicitors Regulation Authority is checking if it provided any other law firms with incorrect advice on whether non-authorised people can conduct litigation.
SDT removes “otiose” restriction on law firm director
The Solicitors Disciplinary Tribunal has removed an “otiose” condition imposed only last October on a director of a law firm that prevented him from holding a compliance role.
Blog
Change in regulator shouldn’t make AML less of a priority
While SRA fines for AML have been climbing, many in the profession aren’t confident they will get any relief from the FCA, a body used to dealing with a highly regulated industry.
There are 17 million wills waiting to be written
The main reason cited by people who do not have a will was a lack of awareness as to how to arrange one. As a professional community, we seem to be failing to get our message across.
The case for a single legal services regulator: why the current system is failing
From catastrophic firm collapses to endemic compliance failures, the evidence is mounting that the current multi-regulator model is fundamentally broken.
