Supervision 2019—law firms
Supervision 2019—law firms

The following Practice Compliance guidance note provides comprehensive and up to date legal information covering:

  • Supervision 2019—law firms
  • Comparison to the SRA 2011 regime
  • SRA and other requirements
  • Management control
  • Service and competence
  • Information requirements
  • Additional Lexcel requirements
  • File reviews
  • Education and training
  • Supervision of registered foreign lawyers (RFLs)

This Practice Note reflects requirements in the SRA 2019 regime, effective from 25 November 2019. See Practice Note: Supervision—SRA 2011 regime and SRA 2019 regime compared for a comparison of the requirements of the 2011 and 2019 regimes.

The SRA's core regulatory requirements in relation to supervision are found in the two Codes of Conduct (the SRA Code for Solicitors 2019 and the SRA Code for Firms 2019), which should be read in the context of the SRA Principles 2019. Requirements can also be found in the SRA Authorisation of Firms Rules 2019, SRA Education, Training and Assessment Provider Relations 2019, SRA Transparency Rules 2018, and SRA Authorisation of Individuals Regulations 2019.

The 2019 Principles and Codes which form part of SRA Standards and Regulations 2019, in force from 25 November 2019, are the culmination of a wholesale review of the SRA’s regulatory regime. They replace the SRA Handbook 2011. They set out the standards and requirements individual solicitors and firms regulated by the Solicitors Regulation Authority (SRA) are expected to achieve and observe.

Comparison to the SRA 2011 regime

The requirements in the 2019 Codes represent the bare bones of those in the 2011 Code.

You will see in Practice Note: Supervision—SRA 2011 regime and SRA 2019 regime compared, however, that the pared-down requirements in the 2019 Codes do not represent a