About Practice Compliance
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).
GDPR compliance
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.
Topics We Cover
Our Practice Compliance Experts
Melanie O'Brien
David Gilmore
Sarah Mumford
Iain Miller
Susanna Heley
Latest Practice Compliance News
This week's edition of Practice Compliance weekly highlights includes: updated guidance on reporting suspected trade sanctions breaches by the DBT and...
The Legal Ombudsman (LeO) has published the second article in its Spotlight insight series, focusing on complaints arising from third-party delays....
Law360, London: The government's bid to crack down on ransomware payments could heap pressure on companies in crisis without any guarantee that it...
The Department for Business and Trade (DBT) and Office of Trade Sanctions Implementation (OTSI) have updated their guidance on reporting suspected...
This week's edition of Practice Compliance weekly highlights includes: our latest Practice Compliance forecast, key financial sanctions updates and...
Latest Practice Compliance Practice Notes
Suspense ledger—law firmsThis Practice Note sets out the requirements of the SRA Accounts Rules regarding use of suspense ledgers. It also reflects...
New and updated content 2025—Practice ComplianceThis Practice Note tells you, on a month-by-month basis, whether we have made substantive amendments...
Conflict in Ukraine news & analysis tracker—2022 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained. This Practice Note...
Conveyancing Quality Scheme (CQS) practice management standards—Precedents content mapThe Law Society's Conveyancing Quality Scheme (CQS) is a quality...
Team development and delegationDelegation is an essential part of managing and developing your team—many of the skills they need to learn cannot be...
Latest Practice Compliance Precedents
Personal data sharing schedule—controller to controller—pro-disclosing partyDefined terms: This precedent schedule uses the additional defined terms...
Privacy policy—general commercial organisation—customer-facingWe take your privacy very seriously. Please read this privacy policy carefully as it...
Personal data sharing clause—controller to controller—pro-receiving partyDefined terms: This Precedent clause uses the additional defined terms...
Anti-bribery and corruption—gift decision treeThis gift decision tree can help you decide whether or not to offer or accept a corporate gift. If in...
Tax evasion facilitation incident—panic sheet1Assemble an incident teamAssemble a tax evasion facilitation incident team promptly, including your head...
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—the Registered Foreign Lawyer (RFL) regime
Working with foreign lawyers—the 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:•what powers the court has to enforce undertakings•when it is likely to exercise those...
Compliance officer for legal practice—COLP—title and duties 2011 [Archived]
Compliance officer for legal practice—COLP—title and duties 2011 [Archived]The compliance officer for legal practice (COLP) sits at the heart of the...
Conveyancing Quality Scheme (CQS) practice management standards—Precedents content map
Conveyancing Quality Scheme (CQS) practice management standards—Precedents 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—source of funds and source of wealth
Money Laundering Regulations 2017—source of funds and source of wealthSource of funds and wealth was a key focus of the SRA’s Preventing Money...
Pre-employment checks—law firms
Pre-employment checks—law 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...
Money laundering compliance officer—law firms
Money laundering compliance officer—law firmsThis Practice Note is intended for law firms that are subject to the Money Laundering, Terrorist...
Client conflicts in conveyancing or property matters—when can you act?
Client conflicts in conveyancing or property matters—when can you act?There are two types of conflict: own interest conflicts (sometimes called...
Closing a client matter—law firms
Closing a client matter—law 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...
What is the ‘risk-based approach’ in relation to anti-money laundering, and what does it mean to me?
Associated legal terms
Overseas practice
This is practice from an office outside England and Wales, except in the case of registered European lawyers where it is restricted to practice from an office in Scotland and Northern Ireland only.
Roll of solicitors
The record of all solicitors who are regulated by the Solicitors Regulation Authority.
Separate business
Practising solicitors, and others involved in the provision of legal services through a regulated SRA firm, must comply with strict requirements about the types of services which they can provide through any business which is not regulated by the SRA or another approved regulator.
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