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
MLex: Potentially conflicting legal requirements, national governance approaches to ensure regulatory consistency, as well as clear legal advice to...
Law360, London: The Serious Fraud Office's 'cast iron' promise that companies self-reporting wrongdoing will duck prosecution could lead to a new wave...
The Office of Financial Sanctions Implementation (OFSI) has issued new General licence INT/2025/6135848, updated INT/2025/6160920 and amended licence...
TMT analysis: This analysis considers the role of technical standards in the ICT sector and in particular in relation to artificial intelligence (AI)....
Law360, London: Allegations by the Serious Fraud Office (SFO) that an insurance broker failed to prevent bribery will tread new ground, a sign that...
Latest Practice Compliance Practice Notes
Trans, gender reassignment and gender identity issues in the workplaceFORTHCOMING CHANGES: An Equality and Human Rights Commission (EHRC) consultation...
Data subject access requests—issues in employmentAssimilated law is the name given to retained EU law which remains in force after the end of 2023....
Sanctions regime—RussiaThe Russia (Sanctions) (EU Exit) Regulations 2019, SI 2019/855, made under the Sanctions and Anti-Money Laundering Act 2018...
Privilege—loss or waiver of privilegeThis Practice Note looks at loss of privilege in civil litigation in the context of legal professional privilege...
Active bribery, passive bribery and bribing foreign public officialsThe Bribery Act 2010 (BA 2010) criminalises:•bribing another person (active...
Latest Practice Compliance Precedents
Outsourcing agreement—short formThis Agreement is made on [date]Parties1[Customer] a company incorporated in [England] with registered number [company...
Prevention of fraud clause1Prevention of fraud1.1For the purposes of this clause 1:1.1.1the expressions ‘Associated With’, ‘Fraud Offence‘ and...
Data sharing decision formFor use by the organisation taking the decision to share data.1Request detailsName of organisation receiving request to...
Data privacy—frequently asked questions1What is personal data?Personal data is any information that can be used to identify an individual. This...
Preference centre supplier questionnaire1Background informationOrganisation’s name and contact details [Insert your organisation’s name and contact...
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...
Risk management policy—law firms
Risk management policy—law firms1Introduction1.1Risk management is central to the regulatory regime under which we operate. [Insert name of firm] is...
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...
Associated legal terms
Own interest conflict
In conduct, this arises if an individual is fettered by their own interest and cannot as a consequence act in the best interests of the client in a particular matter.
Practising certificate
Certification issued by the Solicitors Regulation Authority which enables the individual to practise as a solicitor and to hold themselves out as a solicitor.
Professional principles
The professional principles form one of the eight regulatory objectives set out in section 1 of the Legal Services Act 2007 (LSA).
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