The following Practice Compliance precedent provides comprehensive and up to date legal information covering:
It is not realistic to monitor every area of compliance every month. We take a risk-based approach by monitoring different areas of compliance each month, as set out in our Compliance calendar—short form—law firms. On occasion, we will review areas of compliance in response to a particular event, eg as a result of a compliance breach or new guidance issued by
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Coronavirus (COVID-19): The guidance detailing normal practice set out in this Practice Note may be affected by measures concerning process and procedure in the civil courts that have been introduced as a result of the coronavirus (COVID-19) pandemic. For guidance, see Practice Note: Coronavirus
Fraud by false representationFraud by false representation applies to a broader range of conduct than the offences under the preceding legislation (the Theft Act 1968 (TA 1968)). No gain or loss need actually be made, and no deception need operate on the mind of the deceived for the Fraud Act 2006
This Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and Regulations, in force from 25 November 2019. The SRA Standards and Regulations include two Codes of Conduct—a Code forSolicitors, RELs and RFLs and a Code for Firms. The Standards and Regulations
There are several offences of tipping-off and prejudicing an investigation that apply to the regulated sector. There is also an offence of prejudicing an investigation that applies only to the unregulated sector. Both sectors are subject to an additional offence of interfering with documents.This
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