25 November 2019
These case studies illustrate the importance of having a consistent approach to compliance with the money laundering regulations throughout your entire firm.
18 November 2024
Guidance: To help all firms we regulate and all solicitors (wherever they work) understand and manage regulatory risks and issues associated with conducting an internal investigation.
25 November 2019
To explain how existing LDPs with non-lawyer managers can remain as recognised bodies or elect to become licensed bodies.
17 August 2020
These case studies should be read in conjuction with the guidance on Firm closures due to financial difficulties
25 November 2019
This case study illustrates the importance of firms and clients following up on unusual communications using independent and established means.
8 March 2021
An overview of our approach in determining whether a particular role or interest a person has in licensed body requires approval.
30 September 2024
To help you understand your obligations under our Transparency Rules.
25 November 2019
An overview of the approach we will adopt in determining whether a regulated person has paid or received a referral fee contrary to section 56 of LASPO.
30 May 2023
This guidance is to help you understand how we make a first-instance decision in a disciplinary case and how we deal with an application for an internal review of that decision.
28 January 2026
This warning notice is relevant to all firms and individuals we regulate who work in high-volume consumer claims
