Despite a number of Solicitors Regulation Authority (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
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 Solicitors Disciplinary Tribunal (SDT). Robert is a co-author of The Solicitor’s Handbook 2019.
- Susanna Heley, partner, RadcliffesLeBrasseur
Susanna Heley is a partner in RadcliffesLeBrasseur specialising in solicitors’ regulation. A regular advocate before the SRA and SDT, Susanna is a co-author of the Solicitors Handbook 2019 with Greg Treverton Jones QC, Nigel West and Robert Forman and of The Solicitors Disciplinary Tribunal with Nigel West.
This webinar is discounted 20% for Risk and Compliance Service members.
Recorded on 14 January 2020