Tag Results
Temporary consumer credit regime extended to 2015
Monday, 16 June 2014The Solicitors Regulation Authority and Financial Conduct Authority have agreed that transitional arrangements for firms wanting to carry out consumer credit activities will be extended by a further six months, from 30 September 2014 to 1 April 2015.
Tags: FCA, Solicitors Regulation Authority, SRA
Posted in Latest news, Regulation, Solicitors
Blog
Is it time to change how law firms view compliance?
Although COFAs often hold senior positions and play an essential role in a firm’s financial and regulatory integrity, the perception of the compliance function itself is still evolving.
From templates to culture change: Lessons from the SRA on source of funds
The SRA’s new thematic review into source of funds and wealth reveals both progress and persistent blind spots, with source-of-funds checks too often thought of as a procedural hurdle.
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.
