Solicitors Regulation Archives - Page 2 of 4

Will the SRA Increase Its Internal Fining Powers ‘Twelvefold’?

In November 2021, the SRA announced proposals to significantly hike its fining powers in addition to a new ‘fast-track’ system for fixed penalties for lesser breaches of its rules. This is not the first time … Read More

Top Law Firm Receives Record Fine Following Breach of Money Laundering Rules

For many years now, we have been writing about how some UK law firms have struggled to stamp out money laundering and the ever-increasing pressure being imposed by the SRA on law professionals to do … Read More

What Are Unbundled Services And Why Is The SRA Pushing For Them?

In its ongoing strive to modernise the legal sector, the SRA has recently undergone a fresh drive to encourage law firms to offer ‘unbundled services’ with the Regulator unveiling plans for a pilot scheme to … Read More

What Happens When The SRA Investigate Your Firm?

So what should you do if the SRA starts an investigation against you or your firm? If you understand the investigatory process and have well organised files and detailed client and firm accounts, then with … Read More

SRA Requests Law Firms Declare Their Compliance with Transparency Rules

On 21 January 2021, in what the SRA referred to as a “clamp down”, they announced they had already disciplined nine law firms for not adhering to rules on transparency. It appears this clamp down … Read More

Is it Fair to Take Solicitors’ Personal Lives Into Account?

In the digital age, our actions, thoughts, and feelings are there for all to see on social media platforms such as Facebook, Instagram, Twitter, and Snapchat. Employers are routinely scouring social media accounts of prospective … Read More

Should Solicitors Have Competence Checks?

Back in November 2016, the Solicitors Regulation Authority (SRA) removed the requirement for solicitors to count CPD hours and replaced this with a self-regulatory requirement for legal professionals. They advised legal practitioners to “reflect on … Read More

How Accounting Errors Can Result In An SRA Investigation

Under the SRA Accounts Rules, law firms are required to “have systems and controls in place to ensure compliance with these rules [the SRA rules] and the nature of those systems must be appropriate to … Read More

Defending Solicitors Disciplinary Tribunal Proceedings

If you have been investigated by the SRA and the matter has been referred to the Solicitors Disciplinary Tribunal (SDT) it is imperative that you instruct an experienced SRA and SDT defence solicitor. This is … Read More

SRA Begins Action On Firms Not Meeting Transparency Requirements

The SRA has imposed sanctions on four law firms for failing to meet the transparency requirements introduced in 2018. Published decision notices show Manchester firm AWH Legal was fined £2,000, London firm Sal & Co … Read More

SRA Demands Law Firms Step Up Money Laundering Checks

Mark Boyle, policy lead on anti-money laundering for the SRA has stated that law firms must learn exactly where their clients’ money is coming from if they want to effectively fight money laundering. The statement … Read More

Two Recent Solicitor Dishonesty Cases

There have been several recent cases of dishonesty before the Solicitors Disciplinary Tribunal (SDT) following Solicitors Regulation Authority investigations (SRA). Below is a summary of two of these decisions and what can be learnt from … Read More

Lawyers, Ethics, and Social Media

Without moving too far into the controversial political sphere, it is safe to say that the current UK Government’s commitment to the Rule of Law is slightly lacking. From the move to prorogue Parliament in … Read More

Legal Services Consumer Panel Suggests Spot Checks On Lawyers

The Legal Services Consumer Panel is concerned that clients have limited means of knowing whether a solicitor is competent and has ensured his or her skills have been updated throughout what can be a long … Read More

SRA Issues New Warning Notice in relation to Advising On Investment Schemes

On 17 August 2020, the SRA issued a warning notice stating that solicitors need to be vigilant when it comes to providing advice on investment schemes. The notice is an update on a pre-existing notice, … Read More

Latest Claims Of Sexual Misconduct In Law Firms

On 12 June 2020, Baker McKenzie’s former London senior partner was fined £55,000 for serious professional misconduct. The Solicitors Disciplinary Tribunal (SDT) found that Gary Senior attempted to embrace and kiss a junior colleague in … Read More

Why Should I Consider An SRA Agreed Outcome

In November 2019, it was reported by the Law Gazette that the number of ‘sitting days’ for the Solicitors Disciplinary Tribunal (SDT) this year is projected to be “vastly” down (26%) on last year. This … Read More

Sexual Misconduct At Record Levels Within The Law Profession

January was not a positive month for the UK legal sector press coverage. Firstly, following a Freedom of Information response by the SRA, and as reported in The Guardian, it has been revealed that reports … Read More

A 60 Second Guide To Regulatory Settlement Agreements

Fortunately, not all Solicitors Regulation Authority investigations result in formal prosecution and an appearance in the Solicitors Disciplinary Tribunal (SDT). Depending on the circumstances, it may be possible to negotiate a Regulatory Settlement Agreement with … Read More

What Clients Say

“Anyone who has been the subject of disciplinary action by a regulator, and in my case the Solicitors Regulation Authority, will know that the impact extends way beyond your working life. It significantly impacts your personal and family life, affecting your mental wellbeing in the process.

Who you chose to advise and represent you is one of the most important decisions you can make.

In my case, after initially representing myself, I realised that this is not an area of law where a practitioner should go it alone, I therefore sought advice from a barrister and solicitor who I understood to be very experienced in this area. Not only was I advised incorrectly, as it subsequently transpired, but they also seemed to have very little regard for the impact the investigation was having on me.

Something did not feel right and after yet another period of despair, I came across Jonathan’s details online. It is no exaggeration to say that telephoning Jonathan was the best decision I made. When I called, I was immediately put through to Jonathan’s assistant who informed me that Jonathan was engaged in a tribunal hearing and would come back to me as soon as possible. Jonathan returned my call during a short adjournment, and from that moment on, I knew I’d found the right person. Jonathan came back to me as quickly as possible because he cares and fully appreciates the impact regulatory investigations can have. It was the first time in a long time that I felt a weight lift from my shoulders.

Within the space of a week, after providing Jonathan with everything he needed, Jonathan discussed the case in detail with me, providing clear and detailed advice on my case and the disciplinary process. He put me at ease and his expertise was, simply put, outstanding. The advice he gave on the likely outcome of my case, was spot on. Jonathan is so much more than what I consider to be an unrivalled expert in his field, he is a person who genuinely cares for his clients. Jonathan “had my back” and at the same time as showing compassion and understanding on a personal level, he remained determined and committed to achieving the best possible outcome in my case. Jonathan did exactly that.

In summary, I cannot recommend Jonathan Goodwin highly enough. It is no exaggeration to say that he was instrumental in getting me through one of the worst experiences of my life”

Solicitor

“Anyone who has been the subject of disciplinary action by a regulator, and in my case the Solicitors Regulation Authority, will know that the impact extends way beyond your working life. It significantly impacts your personal and family life, affecting your mental wellbeing in the process. Who you chose to advise and represent you is one of the most important decisions you can make. In my case, after initially representing myself, I realised that this is not an area of law where a practitioner should go it alone, I therefore sought advice from a barrister and solicitor who I understood to be very experienced in this area. Not only was I advised incorrectly, as it subsequently transpired, but they also seemed to have very little regard for the impact the investigation was having on me. Something did not feel right and after yet another period of despair, I came across Jonathan’s details online. It is no exaggeration to say that telephoning Jonathan was the best decision I made. When I called, I was immediately put through to Jonathan’s assistant who informed me that Jonathan was engaged in a tribunal hearing and would come back to me as soon as possible. Jonathan returned my call during a short adjournment, and from that moment on, I knew I’d found the right person. Jonathan came back to me as quickly as possible because he cares and fully appreciates the impact regulatory investigations can have. It was the first time in a long time that I felt a weight lift from my shoulders. Within the space of a week, after providing Jonathan with everything he needed, Jonathan discussed the case in detail with me, providing clear and detailed advice on my case and the disciplinary process. He put me at ease and his expertise was, simply put, outstanding. The advice he gave on the likely outcome of my case, was spot on. Jonathan is so much more than what I consider to be an unrivalled expert in his field, he is a person who genuinely cares for his clients. Jonathan “had my back” and at the same time as showing compassion and understanding on a personal level, he remained determined and committed to achieving the best possible outcome in my case. Jonathan did exactly that. In summary, I cannot recommend Jonathan Goodwin highly enough. It is no exaggeration to say that he was instrumental in getting me through one of the worst experiences of my life” Solicitor

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