25 November 2019
To help all those we regulate understand their obligations under the Money Laundering Regulations.
25 November 2019
As an employer you have certain duties under the Solicitors Act. Failure to comply with them can have serious consequences as the solicitor in this case study discovered.
25 November 2019
This case study describes when the High Court threw out a challenge from a solicitor who was struck off in their absence.
25 November 2019
To help you understand key areas of the SRA’s Standards and Regulations most relevant to working in the Not for profit sector.
25 November 2019
Case studies to be read in conjunction with the Regulation of consumer credit activities toolkit.
25 November 2019
To help you understand key changes introduced by the Insurance Distribution Directive (IDD).
25 November 2019
This checklist will help you determine if your business requires authorisation.
25 November 2019
Understand your obligations under the SRA Accounts Rules to keep accurate accounting records relating to the receipt and handling of client money.
25 November 2019
How to write and what to include in a good client care letter.
25 November 2019
These case studies explain when firms must keep us informed if they are having difficulties obtaining professional indemnity insurance during the renewal period.
29 October 2019
To be read in conjunction with our conflicts of interest guidance.
12 September 2019
This case study should be read in conjunction with the guidance on adequate and appropriate indemnity insurance.
23 July 2019
This case study should be read in conjunction with the guidance on acting with integrity.
8 August 2016
We operate a fund for making grants to people whose money has been stolen, misappropriated, has not been accounted for by a regulated person or those who have suffered a loss against which a regulated person should have been insured under our rules, but was not.
