All Regulation and compliance articles – Page 79
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FeatureBalancing act
No one talks about ‘light touch’ regulation in financial services these days. But is the FCA struggling to find the right balance between intervention and fostering innovation? Grania Langdon-Down reports
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NewsSolicitor acted in court for 12 years without being formally qualified
Akindele Ogun sued the SRA after it banned him from exercising higher rights of audience.
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NewsLSB seeks to settle independence issue with revised rules
Final internal governance rules are published following period of consultation.
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NewsCalifornia poised for long-awaited embrace of non-lawyers
California would be the biggest US state to relax restrictions and liberalise the market.
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News‘Overworked’ solicitor fined for claiming duplicate cab expenses
London lawyer said his own administration system ‘fell into disarray’.
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NewsLegal watchdog frustrated by inaction on complaints data
Consumer panel says SRA and Legal Ombudsman have made positive changes, but there is more to do.
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NewsEx-Kingsley Napley partner fined over £1.5m estate payments
Former head of private client department found to have made mistakes in handling of administration.
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NewsFormer solicitor loses strike-off appeal over delayed counsel fees
Tribunal decision to bar Midlands sole practitioner for dishonesty is upheld in the High Court.
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NewsOnline courts won’t take off without compulsion, report for LSB claims
Super regulator creates 'new resource of information and advice for legal services regulators' to deal with lawtech.
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NewsComplaint numbers up - but solicitors better than ever at resolving them
New SRA aggregated data shows firms are excelling at ensuring complaints stay in-house.
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NewsTraffic defence lawyer shut down by SRA
Intervention confirmed into Lancashire practice Trafficlawyer4U.
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NewsDefendant solicitor blames 'workload pressure' for file mistake
Former Clyde & Co solicitor's error on the file resulted in his colleague making a mistaken court application.
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NewsFormer Schillings manager fined for selling 95 mobile phones
Martin Flowers must pay back £13,547 he made from selling handsets to phone recycler.
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NewsSRA pledges to be more open - but board meetings stay closed
Gazette understands regulator does not believe it is necessary to reopen meetings to the public.
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NewsFreshfields partner urges SRA to drop conduct case over ‘contaminated’ evidence
Married partner alleged to have lacked integrity in engaging with junior colleague.
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NewsSolicitor suspended after asking secretaries to backdate files
SRA withdraws allegation of dishonesty and agrees suspension after solicitor opts not to return.
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NewsCall to abolish ‘lack of integrity’ disciplinary offence
Leading authorities on regulation describe the concept as confusing and unhelpful.
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FeatureTime to get your risk assessments in order
SRA report highlights shortcomings in firms’ anti-money laundering measures.
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NewsLSB backs freelance solicitors practising with no insurance cover
Law Society fumes at 'lax approach' to regulation by body supposed to provide oversight.
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NewsPC fee frozen as fewer firms than ever subject to costly shut-down
Annual fee has fallen by almost one fifth in real terms since 2015.