25 November 2019
To help you understand how we make the decision to conduct an on-site inspection and what is expected from you.
25 November 2019
Understand in what circumstances under Rule 10 of the SRA Accounts Rules you can operate a client’s own personal bank account as signatory.
25 November 2019
This warning notice explains the importance of making sure that your communications are always professional, lawful and do not cause offense.
25 November 2019
This reminds those advising clients about their tax affairs about the importance of understanding their regulatory obligations.
25 November 2019
Common risks that solicitors and firms face when they provide immigration services.
25 November 2019
To help you understand how we decide when to make a payment from the SRA Compensation Fund.
25 November 2019
To help you understand your requirement to take out and maintain professional indemnity insurance that provides adequate and appropriate cover in respect of services you provide.
25 November 2019
Understand your professional obligations and the issues you need to consider before offering inducements to existing or prospective clients.
25 November 2019
Understand how firms subject to the money laundering regulations must comply with the requirement to have a firm wide risk assessment under regulation 18.
25 November 2019
To remind you of your professional duties when accepting and dealing with claims relating to mis-sold payment protection insurance.
25 November 2019
This Warning Notice reminds you of some of the key requirements to have in place adequate controls to prevent, detect and report money laundering and to make suspicious activity reports (SARs).
25 November 2019
A flow chart to assist solicitors, registered European lawyers and registered foreign lawyers in deciding whether their employer needs to be authorised under the Legal Services Act.
25 November 2019
These case studies should be read in conjunction with the guidance on Principle 2 - public trust and confidence.
25 November 2019
To highlight areas of concern and the professional obligations of those responsible for the preparation and drafting of wills.
25 November 2019
To help you understand how we make a first instance decision and how we deal with an application for an internal review of that decision.
25 November 2019
To help you understand the overarching principles that guide us when we make regulatory decisions and the criteria we apply.
25 November 2019
To help you understand when we might agree to a regulatory and disciplinary outcome by way of a Regulatory Settlement Agreement.
25 November 2019
To help you understand our approach towards investigating breaches of our regulatory requirements which relate to the same or similar underlying facts as concurrent civil, regulatory or criminal proceedings.
25 November 2019
Understand how we approach the requirement to act with honesty found in Principle 4 and the test we apply when deciding if a person has acted dishonestly.
25 November 2019
Understand how and when we may bring criminal proceedings against those we regulate.