Authorisation & regulation

Authorisation & regulation guidance:

The following Practice Compliance practice note provides comprehensive and up to date legal information on Breach reporting 2019—law firms

Practice notes

The following Practice Compliance Q&A provides comprehensive and up to date legal information on Can I still practice EU law if the UK is no longer in the EU?...

Q&As

The following Practice Compliance Q&A provides comprehensive and up to date legal information on Can we have a COLP who works part-time?

Q&As

The following Practice Compliance precedent provides comprehensive and up to date legal information on COFA compliance breach monitoring—annual review...

Precedents

The following Practice Compliance precedent provides comprehensive and up to date legal information on COLP compliance breach—annual review

Precedents

The following Practice Compliance precedent provides comprehensive and up to date legal information on COLP or COFA monthly compliance monitoring record...

Precedents

The following Practice Compliance precedent provides comprehensive and up to date legal information on Compliance breach register—law firms

Precedents

The following Practice Compliance practice note provides comprehensive and up to date legal information on Compliance officer for finance and...

Practice notes

The following Practice Compliance precedent provides comprehensive and up to date legal information on Compliance officer for finance and administration—COFA—job...

Precedents

The following Practice Compliance practice note provides comprehensive and up to date legal information on Compliance officer for finance and administration—COFA—title...

Practice notes

The following Practice Compliance practice note provides comprehensive and up to date legal information on Compliance officer for legal practice (COLP)—authorisation and...

Practice notes

The following Practice Compliance precedent provides comprehensive and up to date legal information on Compliance officer for legal practice—COLP—job description and...

Precedents

The following Practice Compliance practice note provides comprehensive and up to date legal information on Compliance officer for legal practice—COLP—title and duties...

Practice notes

The following Practice Compliance practice note provides comprehensive and up to date legal information on Compliance Officers 2019—law firms

Practice notes

The following Practice Compliance practice note provides comprehensive and up to date legal information on Compliance officers and breach reporting—SRA 2011 regime and...

Practice notes

The following Practice Compliance practice note provides comprehensive and up to date legal information on Coronavirus (COVID-19)—guidance for law firms...

Practice notes

The following Practice Compliance practice note provides comprehensive and up to date legal information on Dealing with freelance solicitors

Practice notes

The following Practice Compliance precedent provides comprehensive and up to date legal information on Deed of indemnity—compliance officer for finance and...

Precedents

The following Practice Compliance precedent provides comprehensive and up to date legal information on Deed of indemnity—compliance officer for legal practice (COLP)...

Precedents

The following Practice Compliance Q&A provides comprehensive and up to date legal information on Do the SRA Codes of Conduct 2019 apply to law firm employees?...

Q&As

Do the SRA’s proposed changes to the Handbook mean that in-house lawyers risk losing legal professional privilege (LPP) for advice to their internal client/employer?...

Q&As

The following Practice Compliance practice note provides comprehensive and up to date legal information on Firm-based regulation

Practice notes

The following Practice Compliance precedent provides comprehensive and up to date legal information on Introduction arrangement with separate business: attendance note...

Precedents

The following Practice Compliance precedent provides comprehensive and up to date legal information on Introduction arrangement with separate business: due diligence...

Precedents

The following Practice Compliance practice note provides comprehensive and up to date legal information on Legal complaints handling—regulatory bodies...

Practice notes

The following Practice Compliance practice note provides comprehensive and up to date legal information on Legal Services Board

Practice notes
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