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Recent Decisions

sra fines croydon firm over £8,000 for non-compliance

A recognised body authorised and regulated by the Solicitors Regulation Authority (SRA) agrees to the following outcome to an SRA investigation:

A £8,644 fine under Rule 3.1(b) of the SRA Regulatory and Disciplinary Procedure Rules (RDPRs).

The SRA investigation identified areas of concern in relation to the compliance with the Money Laundering, Terrorist Financing (Information on the Payer) Regulations 2017 (MLRs 2017), the SRA Principles 2011, the SRA Code of Conduct 2011, the SRA Principles 2019 and the SRA Code of Conduct for Firms 2019.

Between June 2017 and July 2024, the firm failed to sufficiently document the level of risk on clients and matters, as required by Regulation 28(12) and Regulation 28(13) of the MLRs 2017.

Based on the evidence the firm has provided of its annual domestic turnover for the most recent tax year, this results in a basic penalty of £10,804.

The SRA considered that the basic penalty should be reduced to £8,644 due to the fact that the firm does not appear to have made any financial gain or received any other benefit as a result of its conduct.

SRA Intervenes in Hunter’s Solicitors-Firm Shut Down, Three Solicitors Suspended

The Solicitors Regulation Authority (SRA) has intervened in Hunter’s Solicitors LLP, a multi-office Home Counties firm headquartered in High Wycombe and operating across ten locations under several trading names – including Franklins Solicitors, Batemans, Colemans, and Grower Freeman. The intervention followed suspicion of dishonesty on the part of the

OPBAS Report Highlights Ongoing AML Supervision Gaps in Legal and Accountancy Sectors

The Office for Professional Body Anti-Money Laundering Supervision (OPBAS) has published its latest report on the 2024/25 supervisory period, finding that while Professional Body Supervisors (PBSs) are performing better than at any point since OPBAS was established in 2018, significant weaknesses remain – particularly around enforcement. OPBAS oversees 25

Solicitor Struck Off for Falsifying Note to Cover Court Lateness

Solicitor Alexander Gallagher (admitted 2016, self-employed advocate for LPC Law) arrived 30 minutes late to a 2pm hearing at Wandsworth County Court, leading to adjournment. To conceal his mistake, he sent a false attendance note claiming he had requested adjournment due to lack of instructions/documents, which was untrue. He

Probate solicitor paid his £77,000 tax bill with client funds

A London probate solicitor has been struck off following the discovery of extensive client account misappropriation totalling nearly £1.2 million. Andrew Brian Alexander Cooper, admitted in 2007 and based at Streathers Solicitors in Baker Street, was found by the Solicitors Disciplinary Tribunal to have engaged in “deliberate and calculated”

Firm fined £68,000 for processing CA$23m through client account

Key Details: Firm: Scott-Moncrieff & Associates (ScoMo) – a virtual law firm run by former Law Society president Lucy Scott-Moncrieff Fine: £68,000 (plus £1,350 costs) Main Breach: Additional AML Failures: Regulatory Context: Current Status: Risk Assessment: SRA cited the risk that the client account “may have been used for

UK Finance defends conveyancing fee for lender instructions

UK Finance has confirmed that, from June 2026, solicitors and conveyancers acting for mortgage lenders in residential property transactions will be charged £50 plus VAT per year per user to access the UK Finance Mortgage Lenders’ Handbook – the central set of instructions they must follow when acting on

Solicitor banned for certifying documents online

Solicitor Struck Off for Online Document Certification Joe Morgan, a solicitor admitted in 2019 and director of Document Certifier Ltd, has been struck off by the Solicitors Disciplinary Tribunal for certifying documents without seeing the originals. The Issue: Morgan ran a website where clients uploaded documents (such as bank

SRA to require annual accountants’ reports

SRA’s Decisions The SRA is consulting on a return to mandatory submission of all accountants’ reports. The proposals include: Additional proposals on “more timely” information requirements for firms significantly changing their profile through mergers, acquisitions or sales will be published next year. Industry Response A recent SRA spot-check revealed

SRA Warning: Expect Enforcement Action for Lack of Mazur Response

The Solicitors Regulation Authority has issued a stark warning that firms conducting reserved activities without authorisation and failing to address the implications of the Mazur judgment can expect enforcement action. The SRA’s Position In guidance issued last week, the regulator acknowledged there has been “concern and confusion” in the