All Regulation and compliance articles – Page 42
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NewsSRA probes solicitor advocate Makin over alleged misconduct
Revelation follows the Court of Appeal's lifting of an anonymity order last year.
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NewsTop 20 firm and former senior solicitor admit AML failings
Tribunal hears that documents provided for former client at Clyde & Co were six years old in 2014.
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NewsSRA proposes earlier English language check for foreign qualified lawyers
Practitioners may have to spend £200 to prove to the SRA that they are proficient in the English language.
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NewsSolicitor 'motivated by compassion' fined £10,000 for misleading court
The lawyer, a former employee at a City firm, told county court that she could act as a sole practitioner.
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NewsSeven more firms fined - but SRA insists rules must be upheld
Regulator says it gives firms ample opportunity to ensure they are compliant.
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NewsAxiom Ince: Big five law societies call for compensation cap
Joint V societies say SRA should use its discretion to limit the burden on the profession.
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OpinionFinancial innovation is making a comeback – lawyers should stay well away from it
Innovation, creativity and animal spirit should be the preserve of entrepreneurs – not bankers, and certainly not financial regulators.
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NewsSolicitor fined and ordered to pay £4,000 costs following self-report to SRA
Practitioner was not aware of a 2019 rule change regarding acting without pay for family and friends without PII.
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NewsEx-Mirror Group lawyer probed over phone hacking knowledge
SRA looking into possible action in relation to in-house lawyer Marcus Partington.
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NewsManager applied for firm’s partners to be removed from roll
Accounts manager is barred from working in the profession under a section 43 order.
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NewsFirm hit with first SRA fixed fine for late diversity data
Regulator wants to process low-level breaches more quickly to save time and money.
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NewsBarred paralegal had ‘casual’ approach to dating documents
Section 43 order imposed after judge described the practice of backdating documents as ‘frightening’.
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OpinionUnregulated AI legal advice puts the public at risk
Appetite for low-cost data-driven tools is concerning in the absence of agreed standards for assessing accuracy and reliability.
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NewsEx-equity partner leaves roll after covering up work relationship
Solicitor ignored agreement not to contact colleague during firm’s investigation, SRA decision notice reveals.
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NewsReview of SRA’s handling of Axiom Ince will be completed by the spring
LSB appoints Northern Ireland law firm to make an assessment of the Axiom collapse.
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NewsHogan Lovells partner to be City watchdogs’ watchdog
Rachel Kent to begin five-year stint as financial regulators complaints commissioner in January.
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NewsFinance boss duped new firm about £600,000 fraud conviction
SRA finds disgraced former accountant was dishonest and posed a risk to the reputation of his employer.
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NewsTwo more firms fined thousands over AML failings
Sanctions again issued despite no evidence of any harm done by shortcomings in compliance procedures.
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NewsSolicitor’s indefinite suspension lifted after 15 years
Wales property specialist says his desire to get back into the profession had been 'reawakened'.
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NewsSolicitor banned for a year for sexual touching of paralegal
Solicitor, then 53, also rubbed 21-year-old on the shoulders once or twice a day, tribunal hears.