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Effective supervision and ethics in the workplace

7 September 2016

Recent disciplinary decisions highlight the need for managers and compliance officers to ensure the supervision of colleagues is adequate, writes Tracey Calvert

Disciplinary decisions made by the Solicitors Regulation Authority (SRA) and the Solicitors Disciplinary Tribunal (SDT)
are a vital source of information for compliance specialists. Some recent decisions reveal the regulator's and the SDT's expectations regarding supervision in the workplace.

For example, in a decision reported this year, a solicitor was struck off the roll by the SDT on dishonesty charges. The solicitor had pretended to carry out litigation and had provided her client with email updates on a case which did not exist. On leaving her job, the solicitor
took steps to close the case by taking money from another client's account, falsifying probate records in order to do
so, an...

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