Welcome to the Regulation & Compliance Office’s fortnightly roundup, where we look at all the latest stories to keep you ahead and informed in the world of law and compliance.
The RACO roundup is just another way in which we keep the solicitors and other law professionals we work with in the know, so we can ascertain you are never missing the vital developments occurring in your profession.
Below you will find the most recent headlines selected by our compliance experts, followed by a Security Section, where we will also give you an overview of the latest scams currently impacting solicitors and their clients.
How Efficient Is Your Client Complaints Handling Process?
Even the most careful law firms face client complaints from time to time, but how efficiently these are handled can have a significant impact on client trust, staff resources, and overall firm performance.
In our latest blog, we explore the challenges of managing complaints in-house including hidden costs, delays, and potential bias and highlight the advantages of outsourcing to specialists.
Discover how independent experts can resolve complaints quickly, maintain impartiality, ensure regulatory compliance, and free up your team to focus on high-value work.
Find out why more firms are turning to RACO’s Complaint Management Service to protect both clients and their practice here
Mazur & Stuart v. Charles Russell Speechleys LLP – The Reality and Guidance
The High Court’s decision in Mazur & Stuart v. Charles Russell Speechleys LLP has sent shockwaves across the legal industry. Unauthorised staff, including non-solicitors and paralegals, cannot conduct litigation, even under supervision, and failure to comply can carry significant regulatory and financial consequences.
Our latest blog explains the implications for law firms, including:
- Understanding what constitutes “reserved legal services”
- Differentiating between support tasks and conducting litigation
- Steps firms must take now to protect staff, clients, and compliance
- Guidance on reallocating tasks and securing appropriate authorisations
With uncertainty around regulatory expectations and potential cost implications, immediate action is crucial.
Read the full blog to understand the practical steps your firm should take here
Insurance Cover-Up: Solicitor Struck Off for Trading Without PII
Failing to maintain professional indemnity insurance (PII) can have serious consequences, as a recent Solicitors Disciplinary Tribunal (SDT) case demonstrates. A solicitor who continued practising after their policy lapsed was struck off, highlighting the importance of adhering to SRA rules and ethical obligations.
Our latest blog via The Law Society explains:
- The SRA’s extended policy and cessation periods
- Key SRA Principles and Indemnity Insurance Rules you must follow
- The risks of practising without PII, including disciplinary action and financial liability
- Practical steps to mitigate your risks and ensure compliance
Read the full blog to understand your obligations and safeguard your practice here
SCAM ALERTS
Emails misusing the name and details of Morgan Elis Limited
Fraudulent emails are circulating that misuse the name of Stuart Thomas and the details of Morgan Elis Limited, a genuine firm of solicitors, in relation to residential conveyancing. The scam emails request recipients to confirm deposit funds and payment dates and are sent from a fake email address, ‘stuart@morganeslis.co.uk’.
The Solicitors Regulation Authority (SRA) has been informed of these emails. The legitimate firm, Morgan Elis Limited (head genuine email: stuart@morganelis.co.uk), and Stuart Thomas have confirmed they are not connected to these emails.
Advice:
Recipients should always verify any correspondence by contacting the firm directly via official channels. The SRA recommends checking whether individuals or firms are authorised and regulated, and using reliable methods such as public records or official directories to confirm authenticity.
Read full alert here
Warning: Website misusing the name of Norton Rose Fulbright LLP
A website, ‘qizha-guojiyuanzhu.com’, was reported to be misusing the name of Norton Rose Fulbright LLP and the identities of three of its employees, including images, in both English and Mandarin. The site provided unaffiliated telephone numbers and WhatsApp contacts.
The Solicitors Regulation Authority (SRA) has been informed of the fraudulent website. Norton Rose Fulbright LLP (head genuine website: www.nortonrosefulbright.com; phone: 02072 836 000) and the employees have confirmed they were not connected to the site. The website now appears to have been taken down by the host.
Advice:
Recipients should exercise caution and verify any correspondence or transactions claiming to involve the firm or its employees. Always contact the firm directly using official channels. The SRA recommends checking whether individuals or firms are authorised and regulated and using public records or other reliable methods to confirm authenticity.
Read full alert here
BEEN CONTACTED?
Here’s What to Do…
When a firm’s or individual’s identity has been copied or cloned, due diligence is necessary. If you receive correspondence you believe to be suspicious, you should conduct your own due diligence by checking the authenticity of the correspondence by contacting the law firm directly by reliable and established means.
You can also contact the SRA directly to find out if individuals or firms are regulated and authorised by the SRA and verify an individual’s or firm’s practising details. Other verification methods, such as checking public records (e.g. telephone directories and company records), maybe required in other circumstances.
Reach Out to RACO
We at RACO are always at hand to provide tailored guidance to help you make the most informed and beneficial decisions. We help you understand the recurrent regulatory shifts and work with you to provide solutions. With our team of professional specialists and our renowned legal expertise, we can work with your firm to always ensure you are never left unprepared in the wake of legal changes or cyber threats.
For more information on how we can help, call our consultants on 0203 985 8550 or email us at info@regulationandcomplianceoffice.co.uk
