Solicitors Regulation Archives - Page 4 of 4

UK Law Firms Still Challenged By Money Laundering Risks

Earlier this year, the Solicitors Regulation Authority (SRA) revealed it had implemented disciplinary measures against several law firms who had allegedly committed money laundering breaches. The authority stated it had carried out a review of … Read More

All Change – Get Ready For The SRA Handbook 2019 And New Account Rules

In June 2018, the Solicitors Regulation Authority published phase two of its Handbook reforms and a draft of the revised Handbook itself. The existing SRA Handbook is seen as complex and not particularly user-friendly – … Read More

How To Avoid And Challenge An SRA Intervention

An SRA intervention is the SRA’s nuclear weapon. If your firm is currently being investigated and you fear an intervention may be possible, you must take the situation seriously. An SRA intervention can destroy not … Read More

How Law Firms Can Protect The Mental Health Of Their Staff

Do many law graduates understand the true nature of working in a law firm? I know that when I was in the midst of my law exams, the pressure seemed unbearable at times. But nothing … Read More

Wingate & Anr v Solicitors Regulation Authority and Solicitors Regulation Authority v Malins – Recent Appeals Involving Dishonesty and Integrity

The level of honesty and integrity demanded by the Solicitors Regulation Authority (SRA) is incredibly high. And the penalty for acting dishonestly or with a lack of integrity can end an otherwise promising legal career. … Read More

Money-laundering – Know How To Spot The Red Flags

In one telling scene from the opening episode of the BBC’s McMafia, Alex Godman, played by James McNorton, is asked how he might send funds to Mumbai “without leaving a trace”. His answer: by setting … Read More

Can I Have My SRA Suspension Lifted?

It was recently reported in the Law Society Gazette that a solicitor who had worked overseas for over a decade was unable to convince the Solicitors Disciplinary Tribunal (SDT) to lift a suspension which would … Read More

Getting Your Law Firm Ready For GDPR

The General Data Protection Regulation (GDPR) comes into force in May 2018. Law firms that fail to prepare in time, so they can comply with the regulations on day one, risk facing the regulator’s wrath. … Read More

New Case Demonstrates Inconsistencies In SDT Decisions

In a recent Solicitors Disciplinary Tribunal (SDT) hearing, it was ruled that a solicitor who backdated a document in a “blind panic” could continue working in the legal profession. Although this is a welcome decision, … Read More

Lack of Integrity and Dishonesty – Do They Mean The Same In Relation To Solicitors’ Regulations?

Three extraordinary decisions have been delivered by the High Court regarding the Solicitors’ Disciplinary Tribunal’s (SDT) interpretation of ‘lack of integrity’ and ‘dishonesty.’ The issue at the centre of the cases was: are integrity and … Read More

Law firm Leigh Day cleared of Iraq case professional misconduct allegations

On 9th June, the Solicitors Disciplinary Tribunal (SDT) cleared London law firm Leigh Day and three of its solicitors of all 20 allegations of professional misconduct over Iraq war murder compensation claims. The trial, instigated … Read More

Regulatory settlement agreements

A regulatory settlement agreement(RSA) is used between the Solicitors Regulation Authority (SRA) and a regulated firm of solicitors or an individual solicitor to settle a disciplinary proceedings investigation in full. Offering to conclude a disciplinary … Read More

Law firm Leigh Day cleared of Iraq case professional misconduct allegations

On 9thJune, the Solicitors Disciplinary Tribunal (SDT) cleared London law firm Leigh Day and three of its solicitors of all 20 allegations of professional misconduct over Iraq war murder compensation claims. The trial, instigated by … Read More

The Solicitors Regulation Authority v lawyers behaving badly

Within the space of a month, the High Court has issued conflicting decisions on whether a solicitor’s lack of integrity shows dishonesty. The Solicitors Regulation Authority (the SRA) is reported to be considering an appeal … Read More

Regulatory requirements of a client care policy

The Solicitors Regulation Authority (SRA) Handbook (the Handbook) sets out all the SRA’s regulatory requirements on solicitors. It is updated regularly, version 18 having been published on 1 November 2016. The Handbook outlines the ethical … Read More

Restoration to the Solicitors Roll – an interview with Jonathan Goodwin

Anyone wishing to apply for restoration to the Roll of Solicitors needs to carefully consider their chance of success, preferably with the help of someone who understands the challenges involved. Jonathan Goodwin is such a … Read More

How Professional Service Providers Can Protect Their Businesses From Money Laundering

Last month in an interview with The Guardian, the head of the National Crime Agency, David Little said UK authorities were struggling to prevent vast sums of dirty money entering the country. “The amount of … Read More

Should the SRA be Police, Judge and Jury?

Currently, solicitors who face allegations made against them are subject to investigation and sanction by the Solicitors Regulation Authority (“SRA”). The SRA can rebuke solicitors and fine them up to £2,000.00. In more serious cases … Read More

Staying on the Right-Side of the Data Protection Act 1998

This month, a senior barrister was fined £1,000 when highly sensitive client information relating to family court proceedings was accidentally uploaded online, becoming easily accessible to the public via search engines. The Information Commissioner’s Office … Read More

How Solicitors Can Survive An SRA Investigation

Few things cause the manager of a law firm more stress and anxiety than news that the Solicitors Regulation Authority (SRA) is conducting an investigation into your practice. If you have an understanding of the … Read More

What Clients Say

“Dear Jon,

I just wanted to drop you a very short line, to say thank you very much for your help and support through this extremely traumatic and difficult time.

I do not recollect how I became acquainted with your services, but what I can say is that your service support and help was in stark contrast to the previous occasion when I was referred to the SRA, when I instructed a substantial city firm to act on my behalf. Admittedly the city firm had beautiful offices, but that is the only thing that they had, they promised the earth, charged me significantly more than the agreed fees, and then the solicitor dealing with the matter was sick 10 days before the hearing and I had to instruct a QC at the last moment, needless to say the result was not satisfactory.

I cannot, but contrast the difference with your service, from the moment I spoke to you, it was clear that you understood the trauma and stress of being referred refer to the SRA, for doing your job, as most solicitors do to the best of their ability and having delivered a blinding result for the client.

From the moment I spoke to you, it was clear that not only did you understand the torment and stress over wrongful investigation, but you also understood the intricacies and anomalies of the SRA. You were able to assist me in anticipating how matters would be dealt with, and how to deal with matters efficiently, cost effectively add with the least pressure possible and to obtain the best outcome.

I am delighted that we have now been notified that this matter is not progressing, and there is going to be no further repercussions from the matter, which was the correct outcome, but that doesn’t mean it is the outcome that would have transpired if you had not been dealing with it.

I would add the final point, I am an experience litigator who obtains great results for clients on the frequent basis, but the old adage someone who acts on their own behalf has a fool for a client, is especially true when dealing with the SRA. It is also imperative to remember the SRA works with different rules which you understand and I am curious how many other people do.

Many thanks again for your great service which was dealt with in the agreed budget and time frame (insofar as the time frame was under your control).

Very best wishes for the future.”

Solicitor

"Dear Jon, I just wanted to drop you a very short line, to say thank you very much for your help and support through this extremely traumatic and difficult time. I do not recollect how I became acquainted with your services, but what I can say is that your service support and help was in stark contrast to the previous occasion when I was referred to the SRA, when I instructed a substantial city firm to act on my behalf. Admittedly the city firm had beautiful offices, but that is the only thing that they had, they promised the earth, charged me significantly more than the agreed fees, and then the solicitor dealing with the matter was sick 10 days before the hearing and I had to instruct a QC at the last moment, needless to say the result was not satisfactory. I cannot, but contrast the difference with your service, from the moment I spoke to you, it was clear that you understood the trauma and stress of being referred refer to the SRA, for doing your job, as most solicitors do to the best of their ability and having delivered a blinding result for the client. From the moment I spoke to you, it was clear that not only did you understand the torment and stress over wrongful investigation, but you also understood the intricacies and anomalies of the SRA. You were able to assist me in anticipating how matters would be dealt with, and how to deal with matters efficiently, cost effectively add with the least pressure possible and to obtain the best outcome. I am delighted that we have now been notified that this matter is not progressing, and there is going to be no further repercussions from the matter, which was the correct outcome, but that doesn't mean it is the outcome that would have transpired if you had not been dealing with it. I would add the final point, I am an experience litigator who obtains great results for clients on the frequent basis, but the old adage someone who acts on their own behalf has a fool for a client, is especially true when dealing with the SRA. It is also imperative to remember the SRA works with different rules which you understand and I am curious how many other people do. Many thanks again for your great service which was dealt with in the agreed budget and time frame (insofar as the time frame was under your control). Very best wishes for the future." Solicitor

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