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.
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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 a monetary penalty of £160,000 on Bank of Scotland Plc (Bank of Scotland) for...
The European Data Protection Board (EDPB) has published updated guidance on the EU–US Data Privacy Framework (DPF), including revised frequently asked...
This week's edition of Practice Compliance weekly highlights includes a High Court ruling on AML oversight failures at a City law firm and updates to...
Law360, London: On 6 November 2025, HM Treasury shared a consultation on anti-money laundering (AML) and counter-terrorist financing (CTF) supervision...
Law360, Expert analysis: 2025 brought the financially regulated community many gifts in the form of promised reforms. Michael Lewis, partner and head...
Latest Practice Compliance Practice Notes
How to handle data protection complaintsThis Practice Note is intended for commercial organisations in the UK. It provides guidance on how to handle...
How to complete a transfer impact assessment—international data transfer—EU methodologySTOP PRESS: This Practice Note is being updated to reflect...
How to conduct a legitimate interests assessmentThe UK General Data Protection Regulation (UK GDPR) permits processing of personal data where that...
How to manage data protection complianceThis Practice Note is intended for commercial organisations based in the UK. It summarises key features of the...
How to identify and manage special category personal dataSpecial category personal data is particularly sensitive or private and therefore merits...
Latest Practice Compliance Precedents
Responsible AI principles1Introduction1.1[Insert organisation’s name] recognises the potential of artificial intelligence (AI) to transform the way we...
Compliance culture self-assessment1AssessmentRate your organisation’s compliance culture by considering to what extent you agree (or otherwise) with...
Message to staff about their role in the data subject requests processAs part of the work we do, we process personal data about our [insert details,...
Data protection board report1General informationDate of this report[Insert date of this report]Date of last report[Insert date of last report]Period...
Data privacy—code of ethicsWe are committed to protecting the privacy and security of personal data relating to our employees, customers, suppliers...
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
Client money
Money which is held or received for a client or as a trustee.
Fixed odds
(1) A bet is at fixed odds for the purposes of this Part only if, when making the bet, each of the persons making it knows or can know the amount the person will win, except in so far as that amount is to depend on— (a) the result of the event or events betted on, (b) any such event taking place or producing a result, (c) the numbers taking part in any such event, (d) the starting prices or totalisator odds for any such event, or (e) the time when the person's bet is received by any person with or through whom it is made. (2) A bet made with or through a person carrying on a business of receiving or negotiating bets and made in the course of that business is not a bet at fixed odds for the purposes of this Part if the winnings of the person by whom it is made consist or may consist wholly or in part of something other than money.
Outcomes-focused regulation
A style of regulation introduced by the SRA on 6 October 2011 and which is applied to all those it regulates.
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