8 March 2024
Guidance: This draft guidance is to help your employer understand the regulatory duties and standards you must comply with as an in-house solicitor.
8 March 2024
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.
8 March 2024
To help you understand what we expect you to do when you are concerned about actions taken or decisions made by your organisation.
8 March 2024
This draft guidance is for in-house solicitors employed by organisations not regulated by the SRA.
8 March 2024
This case study (Draft) should be read in conjunction with the Identifying your client when working in-house guidance.
8 March 2024
Case studies (Draft) to illustrate how our expectations operate in practice
23 January 2024
This guidance is aimed to help firms assess your exposure to risks associated with the UK’s sanctions regime.
18 October 2023
To help you understand your obligations and how to comply with them. We may have regard to it when exercising our regulatory functions
27 September 2023
Over a period of time we have also identified risks around solicitors producing poorly drafted applications, or advising their clients to pursue totally without merit appeals of Home Office decisions through the courts.
26 September 2023
This explains your obligations when supporting your client in interviews with external agencies.
25 September 2023
How to prevent financial crime, understand the UK's proceeds of crime regime and what you need to do to comply with it.
21 September 2023
Understand how firms subject to the money laundering regulations must comply with the requirement to have a firm wide risk assessment under regulation 18.
30 May 2023
A guide for our decision makers to assist them in arriving at an appropriate financial penalty for the individuals and firms we regulate.
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.
16 May 2023
Guidance: to help you understand the approach we take to health issues which are raised by those we are investigating and the medical evidence we might ask for.
4 May 2023
Guidance on our approach where we consider that individuals and firms have failed to take appropriate steps to look after colleagues' wellbeing.
2 May 2023
Case studies to be read in conjunction with the guidance on workplace environment: risks of failing to protect and support colleagues
23 March 2023
The requirements under the Transparency Rules to publish information concerning your complaints procedure.
1 March 2023
How to prevent your firm’s client bank account being improperly used as a banking facility.
1 March 2023
Case studies to be read in conjunction with the warning notice on improper use of client account as a banking facility.
