All Regulation and compliance articles – Page 26
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NewsCity watchdog inviting bids for £20m worth of legal advice
Financial Conduct Authority panel work could double in value from next year.
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NewsLondon firm fined 2% of turnover for anti-money laundering failures
Sanction was mitigated by the fact that breaches were unintentional and had been remedied, SRA says.
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NewsRebuke for solicitor whose firm lacked accounts system
Sole practitioner took action to remedy omissions but only after forensic inspection.
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NewsComplaints surge prompts SRA probe into solicitors’ competence
Family, and landlord and tenant law will be focus of thematic review.
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NewsMidlands firm fined £46,000 for AML shortcomings
Financial penalty set at 1.6% of income despite no evidence of harm to clients or third parties.
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NewsBogus asylum claims: most firms have 'robust' client vetting systems, SRA probe finds
One in 10 clients turned away by firms offering immigration and asylum services, thematic review reveals.
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NewsOmbudsman misses key targets but happy with progress
Complaints handler also reveals area of law that attracts the most consumer grievances.
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NewsLegal regulators at loggerheads, ‘hostile’ exchanges show
Relations between the Bar Standards Board and the oversight regulator 'worsening by the day'.
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NewsSRA confirms hikes in compensation fund levies
Fund reserves will be restored over the next three years after costly interventions.
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NewsManaging partner diverted pension contributions to prop up firm
Regulator investigated south-west firm after complaints from four members of staff.
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NewsFirm owner who admitted ‘winging it’ struck off the roll
Inexperienced director used client money to prevent firm’s debt tipping over limit.
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NewsFirm director rebuked over conviction for assaulting neighbour
SRA accepts incident over late night music volume was an isolated incident.
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NewsCILEX and SRA enter final stages of regulatory takeover plan
CILEX board decides regulatory redelegation remains in the public interest - but final decision will be made in October.
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NewsSRA not to appeal dismissal of money laundering case
High Court had thrown out regulator's appeal against SDT ruling.
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NewsSRA shuts down London firm after three fines in two years
Regulator says owner failed to comply with the code of conduct and insurance rules.
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NewsFirm fined £10,700 for over-charging from damages
Firm charged 35% on at least 26 client files when DBA regulations limit deductions to 25%.
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NewsSRA challenges Dentons tribunal ruling
SDT decision in money laundering compliance case left regulator with hefty costs bill.
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OpinionThe government is chasing growth, with implications for law and regulation
Chancellor Rachel Reeves has announced the biggest change for the stock exchange in more than 30 years.
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NewsSRA ban on police station representative who made offensive comments
Regulator says non-solicitor was working in the name of solicitors so expected to act with high ethical standards.
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NewsFirm fined £36,000 for allowing more than $4m to be paid into client account
London-based practice self-reported to the Solicitors Regulation Authority over the ‘isolated incident’.