Compliance & Regulation

Law firms have been told that moves to switch regulators to avoid fee caps being introduced for handling financial services mis-selling claims will be closely monitored.

Being employed by companies or law firms can give barristers more protection when faced with ethical challenges than those in private practice, it has been suggested.

Solicitors have been warned by their regulator about undertaking adequate due diligence on mergers and acquisitions and putting client interests first when striking the deal.

A law firm whose compliance officer for finance and administration stole £157,000 has been fined for not having proper systems governing payments from client account.

A solicitor who withdrew from a Family Court hearing over a fee dispute so late that he left his client no chance to find a replacement has been rebuked by the SRA.

A male senior partner found guilty of multiple instances of sexual misconduct in the office with junior female staff – including having sex with one on a desk – has been suspended for two years.

Lawyers and law firms should be “actively” reflecting on and talking about integrity “much more” than they currently do or appear to do, a leading legal academic has argued.

The Financial Services Compensation Scheme has admitted writing to law firm clients and wrongly informing them that their solicitors were no longer authorised.

A High Court judge has been given a formal warning after it emerged that he had seen an independent assessment written for his application to join the Court of Appeal.

A solicitor accused of baselessly threatening legal proceedings over the Covid vaccine is to face the Solicitors Disciplinary Tribunal.

A senior judge has been issued with a formal warning for misconduct after he “accidentally” liked an anti-Israel LinkedIn post which he later described as “repulsive”.

A paralegal lied to both her client and her employer over how she handled a holiday sickness claim that she sought to discontinue without instructions.

Solicitor Harriet Harman KC has been named as chair of the Bar Council’s independent review of bullying and harassment, including sexual harassment, at the Bar.

Hertfordshire University can start taking Bar training course students from September again, after the Bar Standards Board reinstated its authorisation. The regulator stopped it enrolling students last August amid concerns about weaknesses in its course delivery and initially said that… Read More

The SRA has had to revise an updated statement issued just last week for former clients of SSB Group in the wake of questions raised by Legal Futures.