Warning notices

Here you will find our current warning notices. These set out key risks and issues that all firms and individuals we regulate should be aware of.

We may refer to their publication when exercising our regulatory functions and in our enforcement work.

Bogus law firms and identity theft

25 November 2019

There are serious and continuing risks to the public arising from the activities of criminals and criminal gangs who are setting up bogus law firms or bogus branch offices of genuine law firms with the intention, usually, of stealing mortgage loans.

Compliance with the money laundering regulations – firm risk assessment

25 November 2019

This warning notice is relevant to all regulated persons and firms who have a legal obligation to ensure that they do not facilitate money laundering or terrorist financing.

Holiday sickness claims

25 November 2019

This warning notice is relevant to all those we regulate who act in personal injury cases, particularly holiday sickness claims.

Improper use of client account as a banking facility

25 November 2019

This guidance is relevant to all practitioners who have any involvement in holding or using money received for clients or others.

Investment schemes (including conveyancing)

25 November 2019

Warning notice: All law firms should read this warning notice because so-called "investment" schemes are being continually changed to avoid features that have been warned about previously. Practitioners in many fields of law may find that they are at risk of facilitating a dubious investment scheme.

Money laundering and terrorist financing

25 November 2019

This notice highlights warning signs of suspicious transactions; solicitors should be aware of the warning signs, which may require you to take action in order to avoid committing a criminal offence or breaching your professional obligations under the SRA Handbook.

Money laundering and terrorist financing suspicious activity reports

25 November 2019

This notice highlights warning signs of suspicious transactions; you should be aware of the warning signs, and they may require you to take action in order to avoid committing a criminal offence or breaching your professional obligations under the SRA Handbook.

Offensive communications

25 November 2019

This warning notice is relevant to you if you are a solicitor, a REL or an RFL and your communications fall short of the standards expected of the profession.

Payment Protection Insurance (PPI) claims

25 November 2019

This warning notice is relevant to all those we regulate acting in claims for mis-sold payment protection insurance (PPI).

Referral fees LASPO and SRA Principles

25 November 2019

This notice is for all practitioners who have referral arrangements for personal injury work.

Risk factors in personal injury claims

25 November 2019

This Warning Notice is relevant to solicitors and all regulated persons who take personal injury referrals from third parties, work closely with them or act on their instructions.

Tax avoidance - your duties

25 November 2019

Warning notice: Solicitors and firms advising clients about tax, or handle client matters of tax affairs, schemes or arrangements. It is important that you are aware of these arrangements.

Use of non-disclosure agreements (NDAs)

25 November 2019

We recognise that NDAs, including with employees, can legitimately be used to protect commercial interests and confidentiality and in some circumstances, to protect reputation.