Compliance update no 1, 2023

Recorded on: 17/03/2023

The first in our twice-yearly compliance updates from Trevor Hellawell will focus on several recent and topical consultations, and the ultimate responses. It will look at key issues emanating from the SRA and a run-down of enforcement steps taken in response to the recent round of investigations and thematic reviews by the SRA. It will also feature the results of the recent survey into the unregulated legal services market, the latest on the SIF replacement as well as ongoing regulatory interest in the implementation of the Transparency Rules, and progress on the Register of Overseas Entities and AML in general.

The following will be covered:

  • SRA investigations of AML procedures – an update
  • Register of Overseas Entities – the latest
  • SRA continued enforcement activity over Transparency
  • SIF replacement & PII
  • Wellbeing agenda
  • Review or unregulated legal services marketplace – is the right balance being struck?


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