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Every law firm has a legal duty to comply with the SRA Handbook and a raft of other legislation and regulations. Get it wrong and you personally face investigation, disciplinary action, fines and prosecution (not to mention the damage to your reputation).
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Practical guidance tools, registers, training aids and other templates to help you comply with data protection law and manage privacy risks
SRA Handbook
Every law firm has a legal duty to comply with the SRA Handbook and a raft of other legislation and regulations. Get it wrong and you personally face investigation, disciplinary action, fines and prosecution.
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David Gilmore
Sarah Mumford
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Latest Practice Compliance News
On 14 November 2024, the聽Sanctions (EU Exit) (Miscellaneous Amendments) (No.2) Regulations 2024, SI 2024/1157, were laid in Parliament. This...
The Sanctions (EU Exit) (Miscellaneous Amendments) (No.2) Regulations 2024 (SI SI 2024/1157) were laid in Parliament on 14 November 2024. The...
Law360, London: Despite criticism of some aspects of the UK's sanctions regime, there appear to be signs of progress when it comes to enforcement. The...
This week's edition of Practice Compliance weekly highlights includes: the latest financial sanctions, the publication of the November 2024 Suspicious...
The Solicitors Regulation Authority (SRA) has initiated three concurrent consultations addressing various aspects of client money management by law...
Latest Practice Compliance Practice Notes
The Solicitors Qualifying Examination (SQE)Until 31 August 2021, the main route to solicitor qualification (training contract route) required...
What鈥檚 new and what鈥檚 changed in 2020鈥擯ractice Compliance [Archived]ARCHIVED: This Practice Note has been archived and is not maintained. For more...
Legal professional privilege in civil proceedingsThis Practice Note considers legal professional privilege (LPP), which is made up of legal advice...
Privilege鈥攍oss or waiver of privilegeThis Practice Note looks at loss of privilege in civil litigation in the context of legal professional privilege...
Privilege鈥攇eneral principlesThis Practice Note considers the general principles, meaning and rationale behind privilege. It identifies the different...
Latest Practice Compliance Precedents
Tax evasion facilitation鈥攂riefing for external agents/intermediariesIntroductionCompliance with tax evasion and tax evasion facilitation laws is...
Cybercrime awareness campaignQuarter 1鈥擟onfidential informationThe tips and reminders for this quarter relate to confidential information. You can...
Message to staff on the importance of maintaining client confidentiality when working away from the office鈥攍aw firms1The issueWe must keep the affairs...
Strategic business plan鈥攃ommercial1Executive summary/introduction1.1This business plan has been prepared following a series of discussions between the...
Business plan and strategy鈥攎inutes of bi-annual review meetingSection A: General Date of meetingPersons in attendance (name(s) and role(s))Section B:...
Latest Practice Compliance Q&As
Featured Practice Compliance content
SRA Code of Conduct for individuals and firms
SRA Code of Conduct for individuals and firmsThis Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and...
Duties of confidentiality and disclosure 2019
Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
Conflicts of interest 2019
Conflicts of interest 2019Conflicts of interest can cause difficult and serious problems for solicitors and law firms, both from a compliance point of...
Working with foreign lawyers鈥攖he Registered Foreign Lawyer (RFL) regime
Working with foreign lawyers鈥攖he Registered Foreign Lawyer (RFL) regimeThe Solicitors Regulation Authority (SRA) operates a registration regime for...
Undertakings and the court
Undertakings and the courtThis Practice Note explains:鈥hat powers the court has to enforce undertakings鈥hen it is likely to exercise those...
Compliance officer for legal practice鈥擟OLP鈥攖itle and duties 2011 [Archived]
Compliance officer for legal practice鈥擟OLP鈥攖itle and duties 2011 [Archived]The compliance officer for legal practice (COLP) sits at the heart of the...
Conveyancing Quality Scheme (CQS) practice management standards鈥擯recedents content map
Conveyancing Quality Scheme (CQS) practice management standards鈥擯recedents content mapThe Law Society's Conveyancing Quality Scheme (CQS) is a quality...
Acting for yourself, friends and family
Acting for yourself, friends and familyThis Practice Note covers considerations where a law firm wishes to act for one of its own partners or...
Money Laundering Regulations 2017鈥攕ource of funds and source of wealth
Money Laundering Regulations 2017鈥攕ource of funds and source of wealthSource of funds and wealth was a key focus of the SRA鈥檚 Preventing Money...
Pre-employment checks鈥攍aw firms
Pre-employment checks鈥攍aw firmsWhile the application form and interview process will give you some assurances as to a candidate's suitability for a...
What are the ramifications for a solicitor who does not comply with Law Society Formula B undertakings and/or did not hold their client's part of the contract at the point of exchange? If the contract later comes into dispute does an action lie with that solicitor or their firm?
When and how can I terminate my retainer?
Solicitors Regulation Authority
Solicitors Regulation AuthorityThe Solicitors Regulation authority (SRA) is the independent regulatory arm of the Law Society. It...
Risk management policy鈥攍aw firms
Risk management policy鈥攍aw firms1Introduction1.1Risk management is central to the regulatory regime under which we operate. [Insert name of firm] is...
Money laundering compliance officer鈥攍aw firms
Money laundering compliance officer鈥攍aw firmsThis Practice Note is intended for law firms that are subject to the Money Laundering, Terrorist...
Client conflicts in conveyancing or property matters鈥攚hen can you act?
Client conflicts in conveyancing or property matters鈥攚hen can you act?There are two types of conflict: own interest conflicts (sometimes called...
Closing a client matter鈥攍aw firms
Closing a client matter鈥攍aw firmsClosing a client matter properly is a basic client care, risk management and housekeeping requirement. There are also...
Dealing with freelance solicitors
Dealing with freelance solicitorsFrom 25 November 2019, the SRA Standards and Regulations introduced a new method of practising: the freelance...
Associated legal terms
Multi-disciplinary practice
A Multi-disciplinary practice is a type of business which combines legal services with others such as accountancy or estate agency.
SRA handbook
The SRA Handbook [2011] is the Solicitors Regulation Authority's rulebook which contains all its rules, regulations and other provisions governing those individuals and firms regulated by the SRA.
Tax advantage
鈥淭ax advantage鈥 includes鈥 (a) relief or increased relief from tax, (b) repayment or increased repayment of tax, (c) avoidance or reduction of a charge to tax or an assessment to tax, (d) avoidance of a possible assessment to tax, (e) deferral of a payment of tax or advancement of a repayment of tax, and (f) avoidance of an obligation to deduct or account for tax.
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