In response to the recent increase in regulatory fining powers at the SRA, the regulator and the SDT published a joint statement on referrals to the tribunal this week. The document aims to set [...]
The status of ‘freelance solicitors’ is a relatively new regulatory arrangement for the SRA, coming in with the 2019 Standards and Regulations. Before that, the only way for a solicitor to [...]
Not long ago, our fortnightly newsletter (COLP Insider) reported the occasional low level fine for firms incurring the ire of the SRA for AML failures. £600 for a lack of risk assessment here, [...]
Another fine mess: £20k SRA fine for systemic AML breaches Not long ago, we were reporting the occasional low level fine for firms incurring the ire of the SRA for AML failures. £600 for a lack [...]
It’s been a rollercoaster first 5 years for GDPR, says Rachael Eyre. Regulation (EU) 2016/679, more commonly known as the General Data Protection Regulation (GDPR) received its final approval by [...]
Rachael Eyre, certified data protection practitioner, looks at law firms’ duties to establish a client’s identity when they call the office. We are all familiar with the routine. [...]
Top 10 SRA compliance topics of 2022…and what’s on the horizon in 2023 December’s webinar (see below for recording) was a roundup of the top 10 SRA compliance topics of 2022, with some 2023 [...]
December’s webinar (recording link sent to our COLP Insider newsletter subscribers) was a roundup of the top 10 SRA compliance topics of 2022, with some 2023 predictions thrown in for good [...]
For those advising clients on the register of overseas entities under the Economic Crime (Transparency and Enforcement) Act 2022 (ECTEA), two important deadlines are looming. Don’t miss [...]
The SRA’s New ‘Effective Supervision’ Guidance Is Both Prescriptive And A Must Read For All Law Firms New guidance from the Solicitors Regulation Authority sets out the expectations placed on law [...]
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