Regulatory, serious fraud & business crime

Regulatory specialist Susan Humble joins LawNet‘s January Risk & Compliance Discussion on 17 January to discuss how her experience with the Solicitors Disciplinary Tribunal (the SDT) has shaped her approach to her current role as Compliance Officer for Legal Practice (COLP) at RIAA Barker Gillette (UK).

UK approach to AI regulation – September 2023
LPM Conference – July 2023: “Battling the challenge of keeping up with regulatory changes”. Speakers: Susan Humble, regulatory specialist, RIAA Barker Gillette (UK) and Paul Philip, Chief Executive, SRA

Risky Business – June 2023
LPM: Gifts – assets or liabilities? – March 2023
A Guide to the Economic Crime Act – January 2023
LPM: A variety of flowers makes a bouquet – November 2022
TSG Quote: Register of Overseas Entities: ‘Extreme caution’ warning for solicitors – August 2022
LPM: Gifts – assets or liabilities? – July 2022
Character is, perhaps, destiny – April 2022
LPM: All’s fine at the Solicitors Regulation Authority – February 2022
The importance of being transparent – February 2022
Solicitors Journal: In principle? The principles behind principles – December 2021
Solicitors Journal: AML: supervising the supervisor – August 2021
Solicitors Journal: SDLT: market and conveyancers burning up and out – June 2021
Solicitors Journal: Professional conduct and proportionality: a fine balance – May 2021
Solicitors Journal: What’s the problem with transparency? – April 2021
Solicitors Journal: Funny money: Don’t be like Al Capone – March 2021
Solicitors Journal: Being measured – January 2021
Solicitors Journal: Leave a trail – November 2020
Webinar: Informed Consent Before, During and After a Covid-19 World – November 2020

Solicitors Journal: It is time to use the heart when managing junior staff? – November 2020
Should sanctions for dishonesty be harmonised? – August 2020
Lord Chancellor announces the appointment of Susan Humble to the TPC – August 2020
RIAA Barker Gillette (UK) strengthens its Regulatory Team – July 2020
Lockdown your data whilst remote working – April 2020
Gifts and entertainment or bribery and corruption? – December 2019
Fines fly following airline cyber breach – July 2019
The Data Protection Bill: How will it affect e-business? – November 2017
GDPR: Are you ready? – August 2017
The Bribery Act 2010 – March 2016

• Successfully defending a healthcare worker before the HCPC on a charge arising from a social conscience protest.
• Advising solicitors facing proceedings brought by the SRA.
• Defending client business fined for admitted failure to comply with KYC obligations initially brought by OFT and then by HMRC. The fine was reduced significantly at first instance and then reduced further by agreement before the appeal hearing.
• Assisting a financial services business in connection with numerous section 2 notices served by the SFO.
• Advising a specialist dental practitioner regarding misconduct charges brought by the GDC. The GDC dropped all allegations.
• Successfully representing a client before the Licensing Committee of ACCA regarding allegations of signing off inadequate audits.
• Successfully defended a consultant before the GMC on allegations of fraudulent conduct.
• Advising an accountant in disciplinary proceedings brought by ACCA regarding an alleged failure to supervise an audit process adequately.

• Association of Chartered Certified Accountants (ACCA)
• Bar Council
• Department for Business, Innovation & Skills (BIS)
• Financial Conduct Authority (FCA)
• General Dental Council (GDC)
• General Medical Council (GMC)
• Health and Safety Executive (HSE)
• HM Revenue & Customs (HMRC)
• Institute of Chartered Accountants in England & Wales (ICAEW)
• MOD Police
• National Crime Agency (NCA)
• Ofcom
• Royal Mail
• Serious Fraud Office (SFO)
• Solicitors Regulation Authority (SRA)
• Special Branch
• The Nursing & Midwifery Council (NMC)
• UK Visas and immigration

• Anti-money laundering
• Bribery and corruption
• Business crime
• Disputes with HMRC
• Proceeds of crime
• Professional disciplinary proceedings advice and representation
• Risk management
• Sanctions regime advice
• Serious fraud

For businesses:

• Corporate insolvency
• Dispute resolution for businesses
• Employment law for businesses
• Professional negligence
• Property litigation for businesses
• Regulatory, serious fraud & business crime

For individuals:

• Contentious probate
• Criminal defence
• Dispute Resolution for individuals
• Employment law for individuals
• Family law
• Personal insolvency
• Property litigation for individuals

• Association of Chartered Certified Accountants (ACCA)
• Bar Council
• Department for Business, Innovation & Skills (BIS)
• Financial Conduct Authority (FCA)
• General Dental Council (GDC)
• General Medical Council (GMC)
• Health and Safety Executive (HSE)
• HM Revenue & Customs (HMRC)
• Institute of Chartered Accountants in England & Wales (ICAEW)
• MOD Police
• National Crime Agency (NCA)
• Ofcom
• Royal Mail
• Serious Fraud Office (SFO)
• Solicitors Regulation Authority (SRA)
• Special Branch
• The Nursing & Midwifery Council (NMC)
• UK Visas and immigration

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