Legal Services Regulation Blog

12 November 2020

FAQs : The SRA's early character and suitability assessment

The route to obtaining a prestigious job in the legal profession is hard enough without the worry of whether past misdemeanours will prevent you from being admitted by the Solicitors Regulation Authority (SRA) as a solicitor. Convictions or cautions in early life (for even relatively minor offences), student disciplinary findings, civil debts and the like, are all capable of preventing prospective solicitors seeking admission to the roll becoming qualified as a solicitor. Since May 2018, prospective solicitors have had the ability to seek an early character and suitability assessment under the Authorisation of Individuals Regulations,[1] enabling them to understand if something they did in the past could be a bar to entry to the profession.  

Julie Norris

16 October 2020

Are you getting complacent with compliance?

After months of many solicitors working from home, it's easy to get comfortable. But with complacency comes the risk of non-compliance with your regulatory obligations. Jessica Clay provides a refresher on your duties, the risks involved in remote working, and how you can stay compliant.

Jessica Clay

30 July 2020

Sexual misconduct allegations in law firms are ever-present – following due process is key

As another case involving allegations of sexual misconduct relating to a senior partner of a law firm has been concluded before the Solicitors Disciplinary Tribunal just this week, resulting in the imposition of a £10,000 fine being confirmed on 22 July 2020, it is perhaps safe to say that, for now, there is no sign that the Solicitors Regulation Authority (SRA) has lost its appetite to investigate and act on reports of this nature that it receives. 

Kirsty Churm

9 July 2020

“Regulation beyond the echo chambers”: who is listening?

Professor Stephen Mayson’s ‘Reforming Legal Services: Regulation beyond the echo chambers’ report has now been submitted to the Lord Chancellor as the final product of a two-year independent review into the regulation of legal services in England and Wales.  

Jessica Clay

14 May 2020

Promoting a good working culture in law firms - Part 3: The importance of equality, diversity and inclusion (EDI) initiatives in promoting a good working culture

Julie Norris and Jessica Clay spoke at the end of January 2020 at the ARK risk and compliance conference on the topic of promoting a good working culture in law firms.  This is the final blog in a series of three blogs. It focusses on the importance of equality, diversity and inclusion (EDI) initiatives in promoting a good working culture

Julie Norris

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