SRA Could Change Rules on How Law Firms Handle Client Money
The regulator is launching a public consultation on potential changes to how and when law firms handle client money.
November 15, 2024 at 07:53 AM
2 minute read
Law Firm ManagementThe Solicitors Regulation Authority (SRA) is launching a public consultation on potential changes to how and when law firms handle client money.
The regulator said it will look at whether changes are needed in terms of the “controls, checks and balances firms are obliged to have in place to protect money held in client accounts”.
One of the most striking findings mentioned by the SRA was the issue of whether it was “still necessary or desirable for firms to hold client money as widely as currently the case, or at all”.
Other areas which the consultation will cover, the SRA said, include contributions toward the body’s compensation fund— such as potentially changing the 50/50 split between individuals and firms funding the scheme to a 70/30 ratio.
The SRA added that longer term, it will also ask questions such as whether contributions should be varied based on considerations such as size of firm, areas of law or other risk factors.
The SRA launched a consumer protection review in February 2024—and has so far held focus groups, roundtables, events and direct conversations, involving more than 200 members of the public, profession and wider groups.
Paul Philip, the SRA’s CEO, commented: “We are grateful to everyone in the public, profession and elsewhere who took the time to share their views.”
He added: “What we heard has confirmed that safeguarding consumer’s money must be the priority. There was also widespread support for the vital role played by the SRA Compensation Fund, while identifying questions about how the scheme should be funded in the future and how we can make sure of its overall sustainability.”
The issue of law firms holding client money has been in the spotlight partly as a result of Axiom Ince’s collapse last year, after a £66 million hole was discovered in the firm's client account.
Last month, the U.K.'s Legal Services Board initiated 'enforcement action' against the SRA over its handling of the matter.
The LSB concluded that the SRA "did not act adequately, effectively and efficiently" in the lead-up to Axiom Ince's demise, following which approximately 1,400 people lost their jobs.
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 AllMore Than 2 Dozen Lawyers Break Off From DLA Piper Affiliate in Brazil to Form New Firm
Trending Stories
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