Clyde & Co criticised by SDT for 'systemic failure' after fines for money laundering breaches
Solicitors Disciplinary Tribunal judgment sets out firm's 'unacceptable' failings
April 19, 2017 at 06:35 AM
3 minute read
Clyde & Co has been criticised by the Solicitors Disciplinary Tribunal (SDT) for a "systemic failure", following the firm's recent fine for failing to comply with accounting rules.
The full judgment in the case – which also saw three Clydes partners fined £10,000 for breaching money laundering rules – criticises Clydes for allowing its name to be "unintentionally lent to what appeared to have been a fraudulent financial scheme".
The judgment states that as a global firm, Clydes "should set an example to the profession", adding that "whilst its failings were not deliberate, they were unacceptable".
The case saw Clydes fined £50,000, and projects partner Nick Purnell and corporate partners Christopher Duffy and Simon Gamblin fined £10,000.
The breaches focused on transactions that involved the payment of a fee by an investor to the firm, pursuant to consultancy agreements under which the client promised to secure high value banking facilities for the investor concerned.
Clydes and the partners concerned were criticised by the tribunal, which said: "Each of the respondents had let down the profession and their actions would tend to diminish rather than maintain the trust the public would place in them and in the provision of legal services. The defaults in questions were particularly glaring as the firm was a large and, previously, reputable firm; it would be expected to set an example to other firms in its compliance systems."
According to the judgment: "While no judicial determination had been made, the scheme appeared to have involved a fraud by [the client]. By acting as escrow agent, the firm unintentionally lent credibility to the fraudulent scheme.
"The fact that there was a significant risk that the respondents had given credibility to possibly fraudulent schemes and/or which may have involved money laundering, was itself sufficient to cause damage to the reputation of the individuals and the firm, as well as the profession as a whole."
A Clydes spokesperson said: "We hold ourselves to the highest professional and ethical standards and take responsibility for ensuring we meet them.
"We acknowledge the SDT's judgement that in three matters that occurred in 2013 and prior, we did not meet those high standards and the firm and three of its partners did act in breach of the SRA Accounts Rules and The Money Laundering Regulations, which also led to breaches of certain SRA Principles and Code.
"We believe it to be clear and the SDT's judgement does not dispute, that any mistakes made were honest and inadvertent. It is not alleged that the firm or the three partners lacked integrity, probity or trustworthiness, or laundered or misappropriated money.
"We have worked constructively with our regulator, the SRA, and we are confident that the circumstances which led to these breaches could not happen again. We have since reviewed and strengthened a number of aspects of our approach to risk management."
The case, which was brought by the Solicitors Regulation Authority, was determined by the SDT on 21 March. Clydes was represented by David Langley, a lawyer in the firm's in-house risk team.
This content has been archived. It is available through our partners, LexisNexis® and Bloomberg Law.
To view this content, please continue to their sites.
Not a Lexis Subscriber?
Subscribe Now
Not a Bloomberg Law Subscriber?
Subscribe Now
NOT FOR REPRINT
© 2024 ALM Global, LLC, All Rights Reserved. Request academic re-use from www.copyright.com. All other uses, submit a request to [email protected]. For more information visit Asset & Logo Licensing.
You Might Like
View AllGermany’s Wirecard Case Moves to Airport Hangar to Accommodate 100 Lawyers
5 minute readCan Labour's New Budget Steady the Ship? Big Moves On UK Tax Reform and Fiscal Stability
5 minute readGreenberg Takes 7-Lawyer Project- and Structured-Finance Team From Dentons in Warsaw
3 minute readTrending Stories
- 1Judicial Ethics Opinion 24-68
- 2Friday Newspaper
- 3Judge Denies Sean Combs Third Bail Bid, Citing Community Safety
- 4Republican FTC Commissioner: 'The Time for Rulemaking by the Biden-Harris FTC Is Over'
- 5NY Appellate Panel Cites Student's Disciplinary History While Sending Negligence Claim Against School District to Trial
Who Got The Work
Michael G. Bongiorno, Andrew Scott Dulberg and Elizabeth E. Driscoll from Wilmer Cutler Pickering Hale and Dorr have stepped in to represent Symbotic Inc., an A.I.-enabled technology platform that focuses on increasing supply chain efficiency, and other defendants in a pending shareholder derivative lawsuit. The case, filed Oct. 2 in Massachusetts District Court by the Brown Law Firm on behalf of Stephen Austen, accuses certain officers and directors of misleading investors in regard to Symbotic's potential for margin growth by failing to disclose that the company was not equipped to timely deploy its systems or manage expenses through project delays. The case, assigned to U.S. District Judge Nathaniel M. Gorton, is 1:24-cv-12522, Austen v. Cohen et al.
Who Got The Work
Edmund Polubinski and Marie Killmond of Davis Polk & Wardwell have entered appearances for data platform software development company MongoDB and other defendants in a pending shareholder derivative lawsuit. The action, filed Oct. 7 in New York Southern District Court by the Brown Law Firm, accuses the company's directors and/or officers of falsely expressing confidence in the company’s restructuring of its sales incentive plan and downplaying the severity of decreases in its upfront commitments. The case is 1:24-cv-07594, Roy v. Ittycheria et al.
Who Got The Work
Amy O. Bruchs and Kurt F. Ellison of Michael Best & Friedrich have entered appearances for Epic Systems Corp. in a pending employment discrimination lawsuit. The suit was filed Sept. 7 in Wisconsin Western District Court by Levine Eisberner LLC and Siri & Glimstad on behalf of a project manager who claims that he was wrongfully terminated after applying for a religious exemption to the defendant's COVID-19 vaccine mandate. The case, assigned to U.S. Magistrate Judge Anita Marie Boor, is 3:24-cv-00630, Secker, Nathan v. Epic Systems Corporation.
Who Got The Work
David X. Sullivan, Thomas J. Finn and Gregory A. Hall from McCarter & English have entered appearances for Sunrun Installation Services in a pending civil rights lawsuit. The complaint was filed Sept. 4 in Connecticut District Court by attorney Robert M. Berke on behalf of former employee George Edward Steins, who was arrested and charged with employing an unregistered home improvement salesperson. The complaint alleges that had Sunrun informed the Connecticut Department of Consumer Protection that the plaintiff's employment had ended in 2017 and that he no longer held Sunrun's home improvement contractor license, he would not have been hit with charges, which were dismissed in May 2024. The case, assigned to U.S. District Judge Jeffrey A. Meyer, is 3:24-cv-01423, Steins v. Sunrun, Inc. et al.
Who Got The Work
Greenberg Traurig shareholder Joshua L. Raskin has entered an appearance for boohoo.com UK Ltd. in a pending patent infringement lawsuit. The suit, filed Sept. 3 in Texas Eastern District Court by Rozier Hardt McDonough on behalf of Alto Dynamics, asserts five patents related to an online shopping platform. The case, assigned to U.S. District Judge Rodney Gilstrap, is 2:24-cv-00719, Alto Dynamics, LLC v. boohoo.com UK Limited.
Featured Firms
Law Offices of Gary Martin Hays & Associates, P.C.
(470) 294-1674
Law Offices of Mark E. Salomone
(857) 444-6468
Smith & Hassler
(713) 739-1250