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 Financial Services and Markets Bill, as introduced in May 2026, includes provisions that would reform aspects of the UK’s anti-money laundering...
Spotlight on Corruption has published its submission to the Home Office's consultation on economic crime information sharing, which closed in May...
This week's edition of Practice Compliance weekly highlights includes the FCA’s findings from its review of firms’ sanctions systems and controls, the...
The Serious Fraud Office (SFO) has warned that companies which fail to self–report suspected economic crime face an increased risk of enforcement...
Law360, Expert Analysis: In March 2026, the government published its Fraud Strategy 2026–29, setting out a three-year plan to tackle the most commonly...
Latest Practice Compliance Practice Notes
This Practice Note is intended for law firms regulated by the Solicitors Regulation Authority (SRA). It explains the SRA’s supervision and enforcement...
ARCHIVED: This Practice Note has been archived and is not maintained. For more information, see subtopic: New and updated content in Practice...
The information in this Practice Note has been drawn from various SRA reports/publications and events.A strong anti-money laundering (AML),...
The sanctions regime applies to all law firms—there is no distinction in the sanctions regime between regulated and non-regulated sectors or...
FORTHCOMING CHANGE: The Crime and Policing Act 2026, which received Royal Assent on 29 April 2026, replaces the existing ‘senior manager’ attribution...
Latest Practice Compliance Precedents
1Introduction1.1This document sets out our policy for identifying and managing conflicts of interest and confidentiality and disclosure issues.1.2Our...
1Introduction1.1Fraud is a major issue affecting individuals and businesses in every country and in every sector.1.2Fraud can be incredibly damaging....
1IntroductionThis financial sanctions policy sets out the procedures we have developed to comply with financial sanctions requirements made under the...
Please click for an Excel version of this register.This Precedent charitable and political donations register forms part of an organisation’s...
The purpose of this questionnaire is to facilitate our assessment of the level of protection applying to the data we [intend to ]transfer to 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
Gaming machine
In this Act “gaming machine” means a machine which is designed or adapted for use by individuals to gamble (whether or not it can also be used for other purposes)
Relevant tax
“relevant tax” means— (a) income tax, (b) capital gains tax, (c) corporation tax, including any amount chargeable as if it were corporation tax or treated as if it were corporation tax, [(ca) apprenticeship levy,] (d) inheritance tax, (e) stamp duty land tax, and (f) annual tax on enveloped dwellings.
Solicitors Regulation Authority
The Solicitors Regulation Authority (SRA) was set up by the Law Society to be its regulatory body after the Legal Services Act 2007 required the separation of all regulatory and representative activities relating to the legal professions.
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