All Regulation and compliance articles – Page 10
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OpinionUnchartered territory
It is not just the SRA that is moving its tanks on to someone else’s lawn.
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NewsSolicitor fined £10k after switching signatures
SRA says experienced solicitor made a serious error in judgement.
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NewsSRA revises fines regime in anticipation of unlimited powers
Two new bands for serious misconduct will make financial penalties framework 'fit for purpose'.
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NewsLaw Society calls on SRA to evidence huge rise in compensation fund levy
Individual contributions will jump by £60 while £660 levy on firms will rise to £2,220 under SRA proposals.
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NewsSRA tight-lipped on CILEX takeover decision
Board met yesterday to decide whether or not to proceed with plans to regulate members of the Chartered Institute of Legal Executives.
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NewsHigh Court throws out SRA’s appeal in AML case
External provider failed to identify politically exposed person related to client, court hears.
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NewsSociety attacks SRA's CILEX takeover as decision-day looms
'Now is not the right time for the SRA to seek to widen its regulatory scope or take on additional responsibilities.'
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NewsSRA liable for £189,000 costs after ignoring its own AML guidance
Tribunal rebuffs regulator's attempt to penalise international firm Dentons after unsuccessful prosecution.
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NewsSRA issues new client account warning
Regulator issues apparently unprompted edict to profession not to allow shortages to linger.
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FeatureDecisions and interventions
Decisions filed recently with the Law Society (which may be subject to appeal).
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NewsOffice manager helped to move £176k from client accounts to save firm
Transfers were made to the office account to pay staff wages and settle business loans.
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NewsSRA probing 20 solicitors and firms over Post Office scandal
In updated statement, regulator says investigation includes conduct of lawyers during and since prosecutions.
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NewsSRA sounds alarm on firm mergers
M&As must prioritise clients’ interests, regulator warns after spate of high profile collapses.
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NewsSRA fights for anonymity in money-laundering compliance case
High Court hears appeal against rulings on due diligence check, in case which explores the scope of privilege.
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NewsSenior partner suspended over sex on a desk with junior colleague
Tribunal says younger female staff at unnamed firm were given ‘unsettling dilemma’ about how to respond.
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NewsTrainee tried to cover up discontinuing client’s claim
Employee misled client and her firm in the aftermath of her initial mistake.
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NewsSurvey reveals caution about regulation of legal AI
Half of lawyers polled say legal profession should self-regulate its use of artificial intelligence.
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FeatureDecisions and interventions
Decisions filed recently with the Law Society (which may be subject to appeal)
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NewsJudicial Conduct Investigations Office must comply with FoI requests
Information Commissioner's Office finds that JCIO is part of judicial office - and the Ministry of Justice and MoJ must issue ‘fresh response’ to FoI request.