Regulation & Enforcement – punishments galore [2025]

PLEASE NOTE: This SRA Webinar will be viewable from 9th April 2025

The last 18 months has seen a marked increase in the SRA’s vigilance and muscularity in its enforcement activity. Whilst most of us would agree that some action could be justified, the concerns are growing that the SRA are taking a very harsh line with any infraction and non-compliance with the Rules, however slight. Firms have been fined thousands of pounds (sometime much more) for technical breaches of the Rules where no illegality was found and no loss to clients was caused, and yet, the SRA would not seem to be too bothered about the fallout from Axiom Ince. When will it end?

Learning aims & objectives:

• New enforcement powers
• SRA enforcement activity and penalties
• SRA Inspections – points to watch
• What of the reputational damage
• How can we fight the punishment if we think it is excessive?

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