Despite a number of SRA warning notices, firms and property lawyers continue to unwittingly act in dubious investment schemes – often very experienced practitioners are involved who traditionally have relied upon ‘gut instinct’ for when something is wrong.
The SRA may deem a scheme to be dubious, even if it is not fraudulent. The SRA is beginning to turn its attention to entity liability, in addition to individual liability, in a bid to stamp out the problem. Firms and individual property lawyers need to be able to demonstrate the steps they have taken to avoid such involvement.
This webinar will be relevant to:
- compliance Officers and Managers in firms that provide property law services
- commercial property and residential conveyancing solicitors/li>
This webinar will cover
- when a transaction, or series of transactions will be categorised as a ‘dubious investment scheme’
- firms’ and individuals’ obligations:
- SRA Standards & Regulations 2019
- The Money Laundering Regulations 2017
- SRA Warning Notices
- how to avoid entity and individual regulatory liability
- Robert Forman, senior consultant solicitor, Murdochs Professional Discipline Solicitors
Robert is an experienced Professional Discipline solicitor, with particular expertise in the field of Solicitors’ Professional Discipline and Regulation. He handles a range of disciplinary investigations for law firms and lawyers alike and frequently appears before the SDT. He provides advanced level training to COLPs, COFAs, Managers and others on Solicitors Regulation, Professional Discipline and Professional Indemnity Insurance. Robert is a co-author of The Solicitor’s Handbook 2019. He is recommended by Chambers and Partners and Legal 500 for professional discipline, has sat on the Solicitors Disciplinary Tribunal’s Users Group and was appointed by the SRA as external advisor to the SRA Compensation Arrangements Review 2012-2014 to give insight from a Defence Practitioner’s perspective. He is a member of the Lawyers Defence Group, the Solicitors Assistance Scheme and the Association of Regulatory and isciplinary Lawyers.
- Nigel West, partner and head of department, RadcliffesLeBrasseur
Nigel West is a partner in RadcliffesLeBrasseur, where he heads the Solicitor’s Disciplinary Team. He has defended solicitors facing SRA investigations and Solicitors disciplinary proceedings for over twenty years. Nigel is named as a leading individual for professional discipline by Legal 500. He is a co-author of the Solicitors Disciplinary Tribunal: law and practice (Law Society 2015), a co-author of the Solicitors Handbook 2019 and the Cases Editor for the Law Society’s Legal Compliance Bulletin. He is a Committee Member of the Solicitors Assistance Scheme, a member of the Law Society’s Regulatory Processes Committee and a sitting member of the Solicitors Disciplinary Tribunal User Group.
This webinar is discounted 20% for Risk and Compliance Service members.