CM MURRAY REGULATORY UNIT

Examples of our team’s experience includes:

• Advising a law firm partner subject to an SRA investigation in respect of allegations of sexual misconduct.  Investigation closed with no further action;
• Currently instructed by 2 partners subject to SRA investigations in respect of alleged sexual misconduct;
• Providing on-going self reporting and other advice to a law firm in respect of an SRA investigation into alleged misconduct by a partner;
• Providing partner behavioural training to law firm partners on the SRA Workplace Environment Guidance and Thematic Review and Sexual Misconduct guidance;
• Representing a veterinary surgeon accused of dishonesty and “disgraceful conduct” in a 3-day hearing before the Royal College of Veterinary Surgeons Disciplinary Committee;
• Advising a large commercial organisation regarding its in house legal function and whether the same in house team can advise different subsidiaries of the organisation without infringing the SRA’s rules on conflict of interest/confidentiality;
• Advising a partner at a large accountancy firm on his self-reporting obligations to the Institute of Chartered Accountants for England and Wales, following the commencement of a disciplinary investigation against him in respect of alleged sexual misconduct.
• Advising an individual subject to an SRA investigation in relation to serious allegations, and negotiating a regulatory settlement agreement in which the detail of the allegations made against them were kept confidential in light of the individual’s medical condition.
• Acting for a law firm pursuant to a general retainer and advising on issues such as whether proposed retainers complied with the relevant Damages Based/Conditional Fee Agreement Regulations; the circumstances in which a lien over files could be exercised and the obligation to disclose documents to a former client’s trustee in bankruptcy.
• Acting for the SRA in lengthy and substantial proceedings before the Solicitors Disciplinary Tribunal and subsequent appeals of the Tribunal’s decisions to the High Court, and conducting advocacy at Tribunal Case Management Hearings.
• Acting for the SRA in contested interventions into law firms and/or legal practices.
• Acting for the SRA in cases where injunctions have been obtained to facilitate the intervention process and/or compel the production of documents.
• Completing the forms for a new law UK law firm, to operate within a large and well-established Asian law firm group.  law firm group, including registering RFLs.
• Assisting a US firm on the establishment and SRA authorisation of a London office.
• Advising a start-up law firm on the suitability of its COLP.
• Advising a law firm undertaking merger discussions on risk and SRA issues identified during their due diligence
• Advising a US headquartered global (non law) business on its establishment of an ABS law firm.
• Advising a UK firm on successor practice and run off implications.
• Advising an individual (non-partner) solicitor on his personal responsibilities as a regulated individual in light of a mismanaged firm facing a potential SRA intervention.