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 Office of Financial Sanctions Implementation (OFSI) has issued three General Licences under regulation 64 of the Russia (Sanctions) (EU Exit)...
The Office of Financial Sanctions Implementation (OFSI) has published a threat assessment examining sanctions compliance risks in the UK cryptoasset...
The Foreign, Commonwealth & Development Office (FCDO) has introduced a new sanctions regime targeting people smuggling and irregular migration,...
The Foreign, Commonwealth and Development Office (FCDO) has updated its statutory guidance on the Russia (Sanctions) (EU Exit) Regulations 2019, SI...
The Foreign, Commonwealth & Development Office (FCDO) has announced that the UK and EU will reduce the Russian crude oil price cap from $60 to $47.60...
Latest Practice Compliance Practice Notes
OFSI General Licence trackerThis Practice Note tracks General Licences issued by the Office of Financial Sanctions Implementation (OFSI) under the UK...
Direct marketing complianceThis Practice Note provides practical guidance on direct marketing, in particular how to comply with the United Kingdom...
Responding to a UK GDPR compensation claim—a practical guideThis Practice Note provides guidance on how to respond to a ‘UK GDPR claim’. This is with...
Damages-based agreements (DBAs)What is a DBA?Section 58AA of the Courts and Legal Services Act 1990 (CLSA 1990) provides that a damages-based...
Cookie compliance—summaryFORTHCOMING CHANGE: On 19 June 2025, the Data (Use and Access) Bill received Royal Assent, becoming the Data (Use and Access)...
Latest Practice Compliance Precedents
Cybercrime risk assessment1Introduction1.1We have performed an organisation-wide assessment of the risk of our systems and/or services falling victim...
Establishing the source of funds and source of wealth—guidance table for staffThis table ties together source of funds and source of wealth...
Corporate criminal liability—code of ethics1Introduction1.1[Insert organisation name] takes great pride in the way we conduct our business. Our Code...
High-risk client/matter quarterly review1General informationReview period[Insert review period]Date of review[Insert date]Person(s) conducting...
AML, CTF and counter-proliferation financing policy—law firms1Introduction to the policy1.1[Firm name] is required to put in place appropriate systems...
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
Authorised non-SRA firm
This is a term which is defined in the SRA Code of Conduct [2011] for the purposes of the SRA Handbook [2011] as meaning a firm which is authorised to carry on legal activities by an approved regulator other than the SRA.
Legal ombudsman service
A body established to resolve complaints about service standards which are brought against lawyers of England and Wales.
Licence conditions
When the Solicitors Regulation Authority grants a Licence to an Alternative Business Structure (ABS), that Licence will be subject to general conditions.
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