ReguLaw - Regulatory Podcast

We are delighted to introduce our brand new regulatory podcast, ReguLaw, featuring our Partner and Regulatory specialist, Andrew Pavlovic, and our Associate, Naomi Latham. This episode will be the first in a series of podcasts where Andrew and Naomi will discuss key regulatory trends and hot topics which professional service firms and solicitors need to be aware  of.

In our first episode, Andrew and Naomi discuss the SRA’s continued focus on law firm culture, including the following:

1. The SRA's guidance and thematic review on workplace environments and what that means for firms. The thematic review focuses on three main areas (mental health, creating a speak up culture and supervision) which are discussed in detail, with practical insight as to how firms should respond and react to the guidance.

2. The incoming rule change requiring firms and individuals to treat colleagues fairly and not unfairly discriminate them, together with the obligation on managers to challenge unfair/discriminatory behaviour, reviewing the draft guidance that the SRA has published and considering the types of behaviour the SRA will expect managers to challenge and how they should do this in practice.

3. The joint statement published by the SRA and the Solicitors Disciplinary Tribunal following the increase in the SRA's internal fining powers and how this demonstrates a significant shift in the SRA's approach to tackling toxic workplace cultures.

4. Supervision of junior solicitors and how unhealthy workplace environments can contribute to misconduct and/or mistakes being made.

The SRA's Focus on Law Firm Culture: ReguLaw Podcast - Episode 1

In the next episode of our regulatory podcast ReguLaw, Partner and Regulatory specialist, Andrew Pavlovic, and Associate, Naomi Latham discuss the increased scrutiny on lawyers in the last 12 months, both in relation to the type of work that they undertake and the clients they act for.

In this episode, Andrew and Naomi discuss:
1.	SLAPPS – An overview of the SRA’s guidance on the conduct of disputes, warning notice and thematic review;
2.	“Sharp practice” – The recent findings of the Solicitors Disciplinary Tribunal in Woolf and the message this sends to solicitors engaging in sharp practice;
3.	NDAs – The SRA’s current thematic review following the SRA’s warning notice on the use of NDAs, what our experience is with NDAs and confidentiality clauses;
4.	GCs and in-house lawyers – A summary of the SRA’s in house solicitors thematic review and how the in house community have responded to the review so far;
5.	Economic uncertainty - Whether we expect to see further ethical challenges arise for solicitors and firms given the UK’s current financial markets and its stability.
6.	Client selection - how firms are under increasing pressure to reject instructions from potential or existing clients for political and societal reasons.

We hope you enjoyed this episode of ReguLaw. If you have any questions or would like to feature as a special guest in a future episode, please get in touch with Partner Andrew Pavlovic or Associate Naomi Latham.

SLAPPS, NDAs and the Ethical Challenges for In-House Solicitors and GCs: ReguLaw Podcast - Episode 2

In the next episode of our regulatory podcast ReguLaw, Partner and Regulatory specialist, Andrew Pavlovic, and Associate, Naomi Latham are joined by David Hopkins of 39 Essex Chambers. David has a substantial professional discipline practice and regularly appears in the Solicitors Disciplinary Tribunal, acting for both the SRA and respondents.

Andrew, Naomi and David discuss the SRA’s changing approach to sanctions and financial penalties, including the following:
1.	The recent increase in the SRA’s internal fining powers, with a discussion as to how those powers have been exercised to date
 
2.	The rare circumstances where the SRA will hold a hearing before an adjudication panel, what type of cases might be appropriate for such hearings and how often we would expect this to occur in practice
 
3.	The SRA’s extension of turnover based fines for firms and the introduction of means based fines for individuals
 
4.	Notable cases involving the fining of individuals for sexual misconduct and instances where the SRA have sought permission to address the Tribunal on sanctions
 
5.	The recent case of Barnes, its application to sanctions in Hutchings, and whether this case will have an impact on financial sanctions/costs orders in the Tribunal going forwards

We hope you enjoyed this episode of ReguLaw. If you have any questions or would like to feature as a special guest in a future episode, please get in touch with Partner Andrew Pavlovic or Associate Naomi Latham.

The SRA’s changing approach to sanctions and financial penalties: ReguLaw Podcast - Episode 3

In the next episode of our regulatory podcast ReguLaw, Partner and Regulatory specialist, Andrew Pavlovic, and Associate, Liz Pearson are joined by Michael Evans of Byfield. Byfield are market leaders in providing reputation counsel to law firms and individuals facing regulatory investigations and proceedings and Michael has significant experience in this area. 

Andrew, Liz and Michael discuss how firms and individuals can attempt to manage the consequences of an SRA investigation and potential SDT prosecution at various stages of the process, including:

- The investigative stage – the potential for publication at this early stage and the preparatory steps that firms and individuals can take;
 
- The referral stage – how to manage concerns about the impact of publicity on mental/physical health and how individuals/firms can handle the unpredictability of the timing of publication on the SRA’s website;
 
- The hearing - the SDT’s new Automatic Disclosure Policy, and the impact this is likely to have on the press coverage of proceedings going forwards.

We hope you enjoyed this episode of ReguLaw. If you have any questions or would like to feature as a special guest in a future episode, please get in touch with Partner Andrew Pavlovic.

Navigating Reputational Risks in SRA Investigation: ReguLaw Podcast with special guest Michael Evans of Byfield

In the next episode of our regulatory podcast ReguLaw, Partner and Regulatory specialist, Andrew Pavlovic, and Associate, Liz Pearson are joined by Adam Sher of Fountain Court Chambers. Adam has a broad commercial practice, but has a particular interest in all aspects of legal professional privilege. Adam has been involved in a number of important decisions in this area and frequently speaks and writes on the topic.

In this episode Andrew, Liz and Adam discuss:

- The concept of legal privilege and how it arises in SRA investigations, including by reference to the SDT case of Joel Woolf.
 
- The SRA’s contention that it can compel the production of privileged correspondence between a solicitor under investigation and his/her client.
 
- The bases for the SRA’s contentions and whether they stand up to scrutiny, including by reference to the case of the Financial Reporting Council v Sports Direct International plc.
 
- How firms/individuals are currently dealing with this issue in practice.
 
- A call to arms for a test case so the SRA’s position can be subject to further scrutiny.

We hope you enjoyed this episode of ReguLaw. If you have any questions or would like to feature as a special guest in a future episode, please get in touch with Partner Andrew Pavlovic.

Legal Privilege and SRA Investigations Unpacked: ReguLaw Podcast

Welcome to the CM Murray LLP podcast channel where we discuss a wide range of topical issues in relation to partnership and employment law.

CM Murray LLP is a leading partnership, employment and regulatory law firm based in London. 

We advise US and UK law firms and partners, hedge fund and investment management partners, US and other multi-national employers, senior executives and founders on a range of UK partnership and employment law issues.