Reporting and Self-Reporting under the SRA Standards and Regulations
Whilst few of the forthcoming rule changes in the Standards and Regulations amount to more than just...
The Changing Picture for COLPs and COFAs
As the commencement of the new Standards and Regulations regime approaches COLPs and COFAs, who shou...
Towards Standards and Regulations
One of the aims of the new Standards and Regulations was to reduce the length to the former Handbook...
Regulatory Enforcement and the Standards and Regulations
As the November start date for the new SRA Standards and Regulations regime approaches so too does t...
Checking for PEP Status in accordance with the MLR 2017
Recently the SRA reported that a number of the firms in a thematic survey had inadequate PEP checkin...
Are You Transparent?
It is now over six months since the SRA introduced its Price Transparency Regulations, which came in...
Money Laundering Compliance – What the SRA Expects
SRA report on an initial exercise to survey the degree of money laundering compliance and state that...
Reporting Diversity Data
SRA requires that every two years all regulated firms collect, report and publish data about the div...
Costs Information and the LeO
Although previous articles have looked at he SRA's requirements in relation to price transparency, t...
Residual Client Balances
A perennial topic for concern is that of residual client balances – a problem that can often get l...