All Regulation and compliance articles – Page 145
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NewsFormer solicitor to head New Zealand's financial regulator
Rob Everett is to become chief executive of the Financial Markets Authority in February.
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FeatureRisk analysis
The SRA’s director of risk explains why the Risk Outlook is important and how solicitors can influence its development.
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NewsFirms burying heads in sand over finances
Only half of firms understood what is involved if they get into financial trouble.
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OpinionABSs - the idea which won’t go away
The debate about alternative business structures has reached Ireland and Canada – and is set to continue to rage around the world.
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NewsSociety advice on barristers’ VHCC protest
The withdrawal of counsel over VHCC work should be treated like any other change of legal team.
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NewsRegulator amends rule to allow barristers to refuse fee cut
The ‘deeming’ provision of the cab rank rule will not apply to VHCCs following the Bar Standards Board’s statement.
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NewsSRA opens ‘forensic investigations’ into fee-ban avoidance
Visits to firms have continued through November as enforcement action comes closer.
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NewsBar Council rapped over cab rank changes
Legal Services Board says council failed to act in a way ‘compatible with the principle of regulatory independence’.
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News141 firms must prepare to shut down, says SRA
Regulator wants to encourage firms that failed to secure professional indemnity insurance to plan for the worst.
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FeatureHow To: handle OFR in-house
In-house lawyers seeking to comply with outcomes-focused regulation are dealing with a regime that is ‘dynamic’ and constantly evolving.
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News
Law Society dismisses lay chairs idea
The Society said the proposal was based on ‘very limited evidence’ and wrongly assumed lawyers would inevitably act in the profession’s interest.
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NewsSolicitor-financial adviser ventures on the rise
Trend follows liberalisation of rules that prevented law firms referring clients to advisers tied into offering certain financial products.
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News70% reject rulings by LeO
The LSCP says the ombudsman service suffers from ‘false expectations’ of users, who complain of a lack of information and understanding of complaints.
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NewsSRA seeks ‘modest’ increase in fining powers
Regulator unhappy with disparity between traditional firms and alternative business structures.
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Opinion
Fraud and inducements
The SRA should take the lead and investigate the presence or otherwise of a link between inducements and fraud.
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NewsMP intervenes in SRA costs row
Simon Danczuk is angered by what appears to be a loophole denying costs protection to someone who was a beneficiary of a will but not the client.
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NewsSolicitor population rises to all-time high
SRA statistics show no let up in people entering the legal profession.
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NewsBalva clients offered hope as SRA targets uninsured
Uncertainty eased for hundreds of firms insured with Latvian company.
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NewsSRA warns of ‘group contagion’ threat to complex structures
Regulator urges firms tied into complex structures to act against the risk.