25 November 2019
To help you understand the circumstances in which you must have a practising certificate.
25 November 2019
The following case illustrates how solicitors can facilitate criminal activities by failing to maintain their independence.
25 November 2019
As an employer you have certain duties under the Solicitors Act. Failure to comply with them can have serious consequences as the solicitor in this case study discovered.
25 November 2019
This case study illustrates the serious consequences of failing to advise on the need to obtain independent advice.
25 November 2019
This warning notice explains the serious risks posed to the public and the profession by criminals who set up bogus law firms or branch offices of genuine law firms.
25 November 2019
To help you understand key changes introduced by the Insurance Distribution Directive (IDD).
25 November 2019
Advice to help you if you employ a solicitor and your business is not authorised specifically to provide legal services by a legal services regulator under the Legal Services Act.
25 November 2019
Understand your obligations to give information to external clients when your employer is not authorised by us or any other approved regulator.
25 November 2019
Case studies to be read in conjunction with the Regulation of consumer credit activities toolkit.
25 November 2019
Understand your obligations under the SRA Accounts Rules to keep accurate accounting records relating to the receipt and handling of client money.
25 November 2019
Understand the types of joint accounts that you can operate and the records which you will need to keep in order to comply with the SRA Accounts Rules.
25 November 2019
This checklist will help you determine if your business requires authorisation.
25 November 2019
These case studies illustrate the importance of having a consistent approach to compliance with the money laundering regulations throughout your entire firm.
25 November 2019
This Warning Notice reminds you of the warning signs of suspicious transactions.
25 November 2019
How to write and what to include in a good client care letter.
25 November 2019
These case studies will help you understand the Transparency Rules and the requirement to publish prices.
25 November 2019
These case studies highlight the importance of information security and the growing risk of cybercrime.
25 November 2019
This case study describes when the High Court threw out a challenge from a solicitor who was struck off in their absence.
25 November 2019
When and how to use a third party managed account as an alternative to the use of a client account.
25 November 2019
This case study illustrates the importance of firms and clients following up on unusual communications using independent and established means.
