All Regulation and compliance articles – Page 77
-
NewsFailure to offer super exam in Welsh may be unlawful, SRA warned
Regulator says it is ‘actively considering’ Welsh firstin but that no decision has been taken.
-
NewsCity partner charged over 'inappropriate' touching in wine bar
Solicitors Disciplinary Tribunal to hear allegations against Julian Critchlow.
-
NewsIndia slaps Big Four with legal services ban
Bar Council of Delhi approves complaint from Society of Indian Law Firms.
-
NewsNo 'AML-type reporting' on sexual harassment in law firms
Reporting requirement similar to money laundering obligations could be problematic, Law Society debate on NDAs hears.
-
News'Significant minority' of firms failing on anti-money laundering
SRA finds one third of reviewed firms falling short on risk assessments.
-
-
NewsSolicitors face being prevented from correcting own mistakes
Gregory Treverton-Jones QC warns law firms will be forced to send clients to another firm following SDT ruling.
-
NewsFormer trainee banned over links to police station client
SRA publishes banning notice in relation to Reading-based trainee.
-
OpinionIs the fitness to practise regime fit for purpose?
Procedures could provide vehicle that is needed for regulated professionals to deal with problems before they spiral out of control.
-
NewsJunior lawyers warn of super-exam ‘exploitation’
Junior Lawyers Division writes to SRA chief outlining pay concerns.
-
News‘You’re my married boss, it’s so cliche’: Freshfields partner faces SDT misconduct claim
SRA alleges conduct unbecoming of a solicitor and that a male partner misused his position of power.
-
OpinionLightening the load
City regulation post-Brexit means ‘same outcome, lower burden’ for FCA’s chief executive.
-
NewsPersonal injury lawyers fined for referral fee ban breaches
Pair insisted they were simply operating as many other PI firms do.
-
NewsCEO who raised alarm at firm's finances loses unfair dismissal claim
Peter Watson was dismissed in 2017 after making allegations - but tribunal finds this was not the reason for his removal.
-
NewsSolicitor fined by tribunal after second drink-drive conviction
Tribunal opts to double the fine originally agreed between SRA and solicitor.
-
News
City watchdog cools on 'duty of care' rule for financial services firms
The UK’s markets watchdog has gone cold on the idea of a new ‘duty of care’ safeguard for consumers that would enable fresh compensation claims in the event of future financial services scandals. Last year the Financial Conduct Authority published a discussion paper on introducing a duty or legal obligation ...
-
NewsSRA defends omitting sex from 'inclusive' diversity questions
Regulator changed format in 2017 to ask about gender rather than sex.
-
NewsSolicitor's strike-off overturned as judge cites 'lack of clarity' at SDT
Mr Justice Martin Spencer says the sanction against Mark Lorrell was made on a ‘wrong or false basis’.
-
NewsOvertime and an overpayer - SRA bans two more dishonest employees
Section 43 notices issued against non-solicitors from Oxford and Cardiff respectively.
-
NewsConveyancing regulator plans to allow third-party managed accounts
Proposal among several measures aimed at streamlining the handling of client money.