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.
25 November 2019Compliance with the money laundering regulations – firm risk assessment
25 November 2019Holiday sickness claims
25 November 2019Improper use of client account as a banking facility
25 November 2019Investment schemes (including conveyancing)
25 November 2019Money laundering and terrorist financing
25 November 2019Money laundering and terrorist financing suspicious activity reports
25 November 2019Offensive communications
25 November 2019Payment Protection Insurance (PPI) claims
25 November 2019Referral fees LASPO and SRA Principles
25 November 2019Risk factors in personal injury claims
25 November 2019Tax avoidance - your duties
25 November 2019Use of non-disclosure agreements (NDAs)
25 November 2019