Acting to stop harm: the FCA and Appointed Representatives
SRA v Siaw  EWHC 2737 (Admin)
In the second blog in this series, we referred to the cooperating and reporting obligations in the new Codes of Conduct being notably different, when compared to corresponding provisions in the 2011 Code of Conduct and to other rules and regulations in the 2011 Handbook.
Professional Standards Authority (PSA) v General Dental Council (GDC) and another  EWHC 2640 (Admin)
In November 2015, the Solicitors Regulation Authority (SRA) published its position paper “Looking to the Future”, through which it committed to a phased review of the SRA Handbook and its overall approach to regulation. It was also at this stage that a new regulatory model, with two distinct strands, was first proposed. This model sought, on the one hand, to regulate individuals through education and entry standards, on-going competence and ethical behaviours. On the other hand, it sought to regulate firms, with emphasis being on their systems and controls.
Are we nearly there yet?
As most in the legal profession are now aware, the Solicitors Regulation Authority (SRA) will be launching its new set of Standards and Regulations (known now by many as the “StaRs”) on 25 November 2019. The StaRs could herald a new era in legal regulation in which there will be a distinct shift in focus, both in terms of what the SRA considers to be its priorities as a regulator (of both individuals and firms), and in what the SRA expects of those it regulates.
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