Risk & Compliance

Articles

29 Oct 2019

7,000 firms in SRA's firing line in AML compliance drive

A fifth of law firms are failing to comply with anti-money laundering regulations, according to the Solicitors Regulation Authority (SRA) who warned of “strong action against those who continue to fall short”.

23 Oct 2019

Lessons unlearnt

Repeated issues come before the Solicitors Disciplinary Tribunal persistently and threaten to end solicitors' careers, Susanna Heley warns

28 Aug 2019

Lawyer struck off for unregulated divorce practice

A family lawyer has been struck off after creating an unregulated online divorce service in order to avoid sharing the revenues with his firm.

1 Aug 2019

Creating a compliance culture

Tracey Calvert revisits the topic of cultivating a firmwide compliance culture and explains why it's the best way to avoid nasty surprises

23 Jul 2019

Solicitors' disciplinary processes: fit for purpose?

The solicitors' disciplinary process is changing before our eyes and it's crucial to the integrity of the legal profession that the SRA and SDT are strong and robust institutions, says Andrew Katzen

9 Jul 2019

How should #MeToo reports be handled?

As the first sexual misconduct prosecutions against lawyers are starting, Susanna Heley wonders whether the current regulatory framework provides a suitable response

5 Jun 2019

GDPR one year on: from hefty fines to positive outcomes

Complying with data protection rules is not just about preventing breaches, it also enhances your engagement with clients, says Hilary Campton

8 May 2019

SRA investigates 26 firms in AML crackdown

The Solicitors Regulatory Authority (SRA) has entered 26 firms into a disciplinary process for falling short of anti-money laundering (AML) standards.