6 August 2024
This reminds those we regulate of some of the key risks and issues when advising on the use of NDAs.
26 July 2024
This guidance explores professional duties and key risks for solicitors, law firms and their employees when representing clients during claims.
21 June 2024
Relevant to all firms and individuals we regulate but is particularly relevant to you if you are a manager of a firm or a firm's COFA or COLP.
17 June 2024
Relevant to all firms and individuals we regulate who are thinking of or in the process of acquiring other law firms and seeking to sell or merge their law firm with another regulated entity
31 May 2024
There is a concern that solicitors and firms are engaged in a type of abusive litigation, known as strategic lawsuits against public participation (SLAPPs), on behalf of their clients.
3 May 2024
Solicitors must act with integrity and uphold the high professional standards that we and the public expect.
23 January 2024
This guidance is aimed to help firms assess your exposure to risks associated with the UK’s sanctions regime.
18 October 2023
To help you understand your obligations and how to comply with them. We may have regard to it when exercising our regulatory functions
27 September 2023
Over a period of time we have also identified risks around solicitors producing poorly drafted applications, or advising their clients to pursue totally without merit appeals of Home Office decisions through the courts.
26 September 2023
This explains your obligations when supporting your client in interviews with external agencies.
25 September 2023
How to prevent financial crime, understand the UK's proceeds of crime regime and what you need to do to comply with it.
21 September 2023
Understand how firms subject to the money laundering regulations must comply with the requirement to have a firm wide risk assessment under regulation 18.
30 May 2023
A guide for our decision makers to assist them in arriving at an appropriate financial penalty for the individuals and firms we regulate.
30 May 2023
This guidance is to help you understand how we make a first-instance decision in a disciplinary case and how we deal with an application for an internal review of that decision.
30 May 2023
This guidance sets out the procedures that we adopt when holding a hearing. In doing so, it aims to promote and support appropriate, transparent and reasoned outcomes.
16 May 2023
Guidance: to help you understand the approach we take to health issues which are raised by those we are investigating and the medical evidence we might ask for.
4 May 2023
Guidance on our approach where we consider that individuals and firms have failed to take appropriate steps to look after colleagues' wellbeing.
2 May 2023
Case studies to be read in conjunction with the guidance on workplace environment: risks of failing to protect and support colleagues
23 March 2023
The requirements under the Transparency Rules to publish information concerning your complaints procedure.
1 March 2023
How to prevent your firm’s client bank account being improperly used as a banking facility.
