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
The Foreign, Commonwealth and Development Office (FCDO) has published guidance on the current sanctions, prohibitions and designations relating to...
HM Treasury and the Office of Financial Sanctions Implementation (OFSI) have updated General Licence INT/2022/2349952 to reflect amendments to...
The Legal Services Board (LSB) has launched a consultation on proposals to replace its current diversity guidance with a new policy statement issued...
The Serious Fraud Office (SFO) has published its annual report on whistleblowing disclosures for 2024–25, in accordance with the Prescribed Persons...
Law360, London: The Chartered Institute of Legal Executives (CILEX) has won permission to appeal against the ruling known as Mazur, which affirmed...
Latest Practice Compliance Practice Notes
Use of confidential information in civil proceedingsThis Practice Note looks at the status and use of confidential information in civil proceedings...
Using social media to promote your business—law firmsThis Practice Note looks at the different types of social media and highlights the most common...
Cybercrime preventionCybercrime is a fast-moving, ever-evolving unpredictable risk to all commercial organisations which must be managed properly.This...
Standard terms and conditions of purchase—risk management guideThis risk management guide is intended for commercial organisations in the UK. It...
Supervision—regulatory requirements—law firmsThis Practice Note sets out SRA regulatory requirements in relation to supervision. For information about...
Latest Practice Compliance Precedents
Meeting minutes—review of complaints dataDate of meetingPersons in attendance[Insert date][Insert details including name(s) and role(s)]1Documents...
Anti-bribery and corruption training recordPlease click for an Excel version of this register.GeneralInsert course name/description and reason for...
High-risk ongoing monitoring form1GeneralDate[Insert date]Name and job title of person completing this form[Insert name][Insert job...
Third party funds investigation record1Introduction and instructions1.1Internal use only—do not send to clients.1.2Money launderers can seek to...
Source of funds/wealth statementInformation for clientsWe are required by law to verify source of funds [and source of wealth ]in your matter. Your...
Latest Practice Compliance Q&As
Featured Practice Compliance content
What is a solicitor's undertaking?
What is a solicitor's undertaking?An undertaking is a commitment by a solicitor to do something. It can be enforced against the solicitor by the...
In what circumstances might a solicitor be able to contact another lawyer's client directly?
SRA Codes 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...
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...
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...
Duties of confidentiality and disclosure
Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
What is a legal entity identifier (LEI) and does my law firm need one?
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...
Solicitors Regulation Authority
Solicitors Regulation AuthorityThe Solicitors Regulation authority (SRA) is the independent regulatory arm of the Law Society. It...
When and how can I terminate my retainer?
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...
Client care letter—law firms
Client care letter—law firmsDear [Insert client’s name][Insert heading, eg matter description]Thank you for your instructions to act on your behalf in...
Conflicts of interest—law firms and solicitors
Conflicts of interest 2019Conflicts of interest can cause difficult and serious problems for solicitors and law firms, both from a compliance point of...
If an email is sent to you in error by an opposing party’s solicitor, what obligations does one have to notify the client of its contents? If there is no duty to disclose the contents to the client, is there a duty to let them know that the email has been received but deleted?
SRA Accounts Rules—law firms
SRA Accounts Rules 2019This Practice Note sets out the requirements of the SRA Accounts rules 2019 (the 2019 Rules), in force from 25 November 2019,...
Who owns the matter file—law firms?
Risk management—key risks—law firms
Risk management—key risks—law firmsEffective risk management is fundamental to the commercial success of law firms. To manage risk effectively you...
How to close 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...
Associated legal terms
Entities-based regulation
The SRA's new approach to regulation which focuses more on the firm than the individual.
Information barriers
A method of protecting confidential information from disclosure.
Risk-based regulation
The SRA's approach to regulation is risk-based.
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