Risk & Compliance

‘Triggered’ solicitor struck off for dishonest letter

A claimant personal injury lawyer who had an unblemished record in practice for more than two decades agreed to being struck off after admitting dishonest conduct.

Insightful misconduct

Learning lessons from previous mistakes is an important factor for the disciplinary tribunals when determining sanctions, says Susanna Heley

Help! I’m the new COFA

Taking on the role of compliance officer for finance and administration (COFA) requires sound knowledge and financial skills as well as firmwide teamwork, says Tracey Calvert

Keeping a secret

Training and appropriate policies should create the right foundation for confidentiality and data protection compliance in practice, says Tracey Calvert

SRA publishes Risk Outlook

Money laundering, dubious investment schemes, and the perils of losing information or money to cybercrime are highlighted as risks in the Solicitors Regulation Authority’s (SRA) Risk Outlook.

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”.

Lessons unlearnt

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