Regulatory Blog

8 September 2020

The first crucial steps: how Universities should respond to allegations of misconduct

University providers owe a duty of care towards staff members and students; this duty takes on particular significance during a disciplinary process and it is essential that Universities provide appropriate and relevant information and support to all parties involved in allegations of misconduct.

Christina Orthodoxou

1 September 2020

Getting it right from the start: University policies for dealing with non-academic misconduct complaints

What happens when a complaint is made to a University about the conduct of a student or a member of academic staff?  What should the procedures for the resolution of these complaints look like and how can all parties be reassured that such allegations will be resolved fairly? 

Julie Norris

11 August 2020

Audit reviews: the process, pitfalls and published themes – a focus on FRC Audit Quality Reviews

In the second blog of our audit series, Julie Matheson and Sarah Harris discuss the FRC’s recent Audit Quality Inspection report, describe how the FRC uses its powers to uphold audit quality and provide some tips on what to do if the FRC opines that one of your firm’s audits needs more than limited improvements.

Julie Matheson

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

27 July 2020

Do you know what your regulatory obligations are before becoming a Trustee?

Trustees are legally responsible for the management and administration of their charity.  Whilst the Charity Commission (the registrar and regulator of charities in England and Wales), recognises that most trustees are volunteers and (thankfully) does not expect them to be perfect, a trustee who breaches their legal duties may be held responsible for any resulting loss to the charity and risks damaging their own and the charity’s reputation. 

Lucy Williams

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