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.
25 November 2019
Understand when the exemption to the requirement to obtain an accountant’s report will apply.
25 November 2019
This checklist will help you determine if your business requires authorisation.
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.
25 November 2019
Understand the types of joint accounts that you can operate and the records which you will need to keep in order to comply with the SRA Accounts Rules.
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
Case studies to be read in conjunction with the Regulation of consumer credit activities toolkit.
25 November 2019
To help you understand the circumstances in which you must have a practising certificate.
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
Understand your obligations to give information to external clients when your employer is not authorised by us or any other approved regulator.
25 November 2019
This warning notice reminds you of your obligations if you have referral arrangements for personal injury work.
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.
