AML Training for FCA Regulated firms

AML Training for FCA Regulated firms

We are pleased to announce that we are extending the assistance we provide with regard to AML training to FCA regulated businesses. We have, for a long time, been providing AML training to businesses in the Legal sector. We are now extending the offer of training to businesses in the Financial Services sector. Here is […]

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SQE2 Exemption - Example of message from SRA that the Application has been Granted

We are putting this up so that people may satisfy their curiosity as to what the message to a successful applicant looks like! Help with your SQE2 Exemption Application Here is a link to more info Help with confirming QWE This is for people who are NOT foreign qualified lawyers. We have confirmed QWE to […]

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Help for COLPs to answer Sanctions Compliance Questions from the SRA

On 2nd May 2023 the SRA wrote to all firms they regulate who are NOT within scope of the AML regulations (they already asked those within AML scope) with a series of questions on how they comply with the Sanctions Regime. (Check your junk box!) Answering is mandatory and answers must be submitted by the end […]

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AML - what work falls within scope of the AML Regs according to the SRA?

We thought it worth putting up an answer to this questions as it has been asked may times. Compliance with AML is a particularly hot topic and the SRA is increasing inspection, audit and enforcement. The SRA does not give an absolutely categorical list, but does supply helpful guidance (we understand a lot more helpful […]

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Workplace Guidance issued by the SRA

The SRA has issued updated guidance on 4th May 2023. This is in response to continued reports of an unsupportive, bullying or toxic working environment and culture in some firms it regulates. The guidance is for all individuals and firms the SRA regulates, including managers and other individuals involved in senior leadership within law firms […]

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SRA starts Sanctions Regime Compliance Checks

One of our client law firms has forwarded the email they received yesterday from the SRA giving them notice that the SRA will be asking them to answer specific questions about how they comply with the UK Sanctions Regime. They have provided a list of the questions they will ask. It is mandatory that the […]

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Fixed Penalties Fines From the SRA for Law Firms Committing Minor Breaches

The SRA published information about this in February 2023 to be brought into effect “later in the year”.  This seems a sensible approach to streamline the process and save the profession expense. It also comes at a time when the SRA has been given powers to raise the maximum it can fine firms from £2,000 […]

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New AML Guidance issued by the Law Society for the Legal Sector 28.3.23

The guidance has two parts: part 1: anti-money laundering guidance for the legal sectorpart 2: specific anti-money laundering guidance forbarristers/advocates (2a)trust or company service providers (2b)notaries (2c) 2b and 2c are to be read alongside part one of the guidance. 2a is designed to be read independently of part one. What’s changed? The Legal Sector […]

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Legal Ombudsman - Complaints FAQs

The Legal Ombudsman (LeO) has published some useful FAQs about handling complaints. Here is the link: Here are the contents chapter headings: Chapter 1 – Introduction and definitionsChapter 2 – Who can complain about whatChapter 3 – What authorised persons must doChapter 4 – When complaints can be referred to usChapter 5 – How […]

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Immigration Services - SRA issues Guidance on how these should be conducted

The Guidance was issued on 23rd November 2022. It relates to all solicitors, registered Foreign lawyers (RFLs), registered European lawyers (RELs) and firms they authorise and those they supervise to undertake immigration work. For the purposes of this guidance, the term 'solicitor' includes RELs and RFLs. Summary It covers: Here is a link to the […]

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"We at Spires Legal wholeheartedly recommend Ingemar and his team at Hunnings Consultancy Ltd. Ingemar has supported us throughout our journey from new start up to established firm. It is refreshing to have a consultant that takes the time to understand your business and its priorities, stands by your side as it develops and is flexible in approach as your needs change.
The feedback we have from our team, and which we regularly hear from others is that Ingemar is an insightful and knowledgeable trainer who is comprehensive yet engaging in his approach. Still unsure? Five minutes on the phone with Ingemar and you will be sold on how much value he can add to your business!"

Arj Arul - Director at Spires Legal

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