Compliance & Regulation


Risk assessment failures land more firms with AML fines

13 November 2024

The Solicitors Regulation Authority has issued fines totalling £57,000 to eight more law firms for failures in their anti-money laundering controls.


Solicitor “created hundreds of file notes” to bolster costs claim

13 November 2024

A judge has condemned a solicitor for “the worst example of tampering with a file of papers that I have ever encountered” in reducing a bill claimed at nearly £260,000 to zero.


SDT “right to strike off” solicitor involved in fraudulent PI claim

13 November 2024

The Solicitors Disciplinary Tribunal was right to strike off a solicitor who took part in a fraudulent personal injury claim, even though he was not the instigator, the High Court has ruled.


Tribunal clears solicitors over volume litigation misconduct

12 November 2024

The Solicitors Disciplinary Tribunal has dismissed allegations of misconduct against two high-profile solicitors over their handling of volume financial mis-selling claims.


Employment law silks clash over impact of BSB equality duty

12 November 2024

Two leading employment law silks have clashed over the new, proactive equality duty proposed by the Bar Standards Board, disagreeing on how much of an impact it will have on barristers.


Immigration firm “advised beyond its competence”

12 November 2024

A tribunal has rejected an appeal from an immigration adviser and firm whose registration was cancelled for breaches of the OISC code that were “as extensive as they were serious”.


Solicitor left abandoned law firm in “chaotic state”

11 November 2024

A solicitor who “abandoned” his law firm, leaving his office “in a chaotic state” with piles of letters thrown away as a fire hazard by neighbouring tenant, has been struck off.


Law firms tell SRA: we want to keep client account

8 November 2024

A poll of law firms has found almost complete opposition to the Solicitors Regulation Authority’s idea of preventing them from holding client money.


Fine for conveyancer who acted for lenders and himself

8 November 2024

A solicitor who acted for lenders in conveyancing transactions without telling them he was also acting for himself and family members has been fined £12,500.


Tribunal fines law firm for persistent transparency rule breaches

8 November 2024

The Solicitors Disciplinary Tribunal has fined a law firm over £20,000 for failing to comply with the SRA’s transparency rules and requirements to have a COLP and COFA.

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