Compliance & Regulation


Director and law firm fined £50,000 for multiple compliance failures

3 February 2025

The director of a law firm and the firm itself have each been fined £25,000 for a series of compliance failures, including widespread accounts rule breaches and anti-money laundering shortcomings.


CMC regulator warns about poor service standards

3 February 2025

The regulator of CMCs has highlighted poor service standards, inappropriate sourcing of customers and misleading advertising as among its key areas of concern.


SRA under fire for not taking action on “textbook” SLAPP

30 January 2025

The Solicitors Regulation Authority has come under fire for closing a complaint about a law firm that represented a Russian warlord without any further action.


Anglo-Scottish firm under close SRA scrutiny over McClure files

29 January 2025

The collapse of an Anglo-Scottish law firm in 2021 continues to have significant reverberations, with the firm that took on its business now under close scrutiny from the SRA.


Are AML breaches misconduct? High Court hears SRA appeal

29 January 2025

A significant appeal that should decide whether a breach of the Money Laundering Regulations is also a breach of the SRA code of conduct starts in the High Court today.


Veteran barrister disbarred for “recklessly misleading” tribunal

29 January 2025

A veteran barrister who attempted to recklessly mislead the court and failed to provide his direct access client with a competent service has been disbarred.


SRA can keep disciplinary decisions online for longer

28 January 2025

The Legal Services Board has approved plans by the SRA to change its publication policy and keep details of misconduct on its website for longer.


Solicitors “letting down” women subjected to economic abuse

28 January 2025

Lawyers giving independent legal advice in cases of potential economic abuse of women are helping the abusers more than their clients, new research has suggested.


Ban for trainee who misled employer over reason for day off

28 January 2025

A trainee solicitor who misled her employer over why she wanted a day off work, seemingly to hide the fact that she was in court over planning breaches, has been banned from the profession.


Solicitor cleared of AML offences he had admitted to

27 January 2025

The SDT has taken the unusual step of rejecting a solicitor’s admissions that he should have done more due diligence on £24m paid into his firm’s client account.

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Blog


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