Authorisation & regulation

View Practice Compliance by content type:

Latest Practice Compliance News

Featured Practice Compliance content

Practice notes
AML and counter-terrorist financing—source of funds and source of wealthSource of funds and wealth was a key focus of the SRA’s Preventing Money...
Read More >
19th May
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
Read More >
19th May
Practice notes
Compliance officer for legal practice—COLP—title and duties 2011 [Archived]The compliance officer for legal practice (COLP) sits at the heart of the...
Read More >
19th May
Practice notes
Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...
Read More >
Produced in partnership with Adam Cygan of University of Leicester 19th May
Practice notes
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,...
Read More >
19th May
Precedents
1DefinitionsModern Slavery Policy•means the Customer's anti-slavery and human trafficking policy as set out in Schedule [insert] as updated by the...
Read More >
19th May
Practice notes
High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
Read More >
19th May
Practice notes
Active bribery, passive bribery and bribing foreign public officialsThe purpose of this Practice Note is to provide a general understanding of the...
Read More >
Produced in partnership with Joanne Kane of Carmelite Chambers 19th May
Precedents
In briefThis precedent links to: •a template created by the UK Information Commissioner’s Office (ICO) of the ‘Set II’ or ‘2004’ EU Standard...
Read More >
19th May
Practice notes
Introduction to retained EU lawThis Practice Note provides an introduction to retained EU law. It provides an overview of the key definitions and...
Read More >
Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May
Practice notes
Safeguards and information barriersProtection of confidential information is fundamental to your relationship with clients, both as a matter of law...
Read More >
19th May
Practice notes
Undertakings and the SRA 2019What is an undertaking?An undertaking is:•a statement, given orally or in writing, whether or not it includes the word...
Read More >
19th May
Practice notes
Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
Read More >
19th May
Practice notes
SRA Handbook 2011 [Archived]The SRA Handbook 2011 sets out standards and requirements that individual lawyers and firms are expected to achieve and...
Read More >
19th May
Precedents
1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...
Read More >
19th May
Practice notes
Working with European lawyers—the Registered European Lawyer (REL) regimeAt 11 pm (GMT) on 31 December 2020, the Brexit transition/implementation...
Read More >
19th May

Most recent Authorisation & regulation content

Practice notes
New law firms—applying for SRA authorisationThis Practice Note provides guidance on applying to the Solicitors Regulation Authority (SRA) for...
Read More >
31st Jul
Practice notes
SRA approval of a firm's owners 2011 [Archived]A firm's owners must be approved by the Solicitors Regulation Authority (SRA). This does not, however,...
Read More >
31st Jul
Practice notes
SRA Handbook 2011 [Archived]The SRA Handbook 2011 sets out standards and requirements that individual lawyers and firms are expected to achieve and...
Read More >
31st Jul
Practice notes
Compliance officer for finance and administration—COFA—authorisation and disqualification 2011 [Archived]This Practice Note discusses the approval...
Read More >
31st Jul
Practice notes
Compliance officer for legal practice (COLP)—authorisation and disqualification 2011 [Archived]This Practice Note discusses the approval process a...
Read More >
31st Jul
Practice notes
SRA's supervision functionThe Solicitors Regulation Authority (SRA) has three core operational functions:•authorisation (see Practice Note: SRA's...
Read More >
31st Jul
Practice notes
SRA Code of Conduct for individuals and firmsThis Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and...
Read More >
31st Jul
Practice notes
Compliance Officers 2019—law firmsThis Practice Note provides guidance on the role and responsibility of compliance officers in law firms, ie the...
Read More >
31st Jul
Practice notes
Looking to the future: SRA proposals for reform of the Handbook [Archived]Less than five years since the SRA Handbook 2011 came into force in October...
Read More >
31st Jul
Practice notes
Separate businesses from 1 November 2015 [Archived]From 1 November 2015, the separate business rules changed fundamentally in an attempt to level the...
Read More >
31st Jul
Practice notes
Compliance officers and breach reporting—SRA 2011 regime and SRA 2019 regime comparedThis Practice Note contrasts the requirements in the SRA’s 2011...
Read More >
31st Jul
Practice notes
Breach reporting 2019—law firmsThis Practice Note is based on reporting requirements in the SRA Codes of Conduct 2019 (in force from 25 November 2019)...
Read More >
31st Jul
Practice notes
Compliance officer for finance and administration—COFA—title and duties 2011 [Archived]This Practice Note explains the duties and qualifying...
Read More >
31st Jul
Practice notes
Separate business and unbundling legal services—SRA 2011 regime and SRA 2019 regime comparedThis Practice Note contrasts the requirements in the SRA’s...
Read More >
31st Jul
Practice notes
Risk-based regulationThe Solicitors Regulation Authority (SRA) cannot police compliance by every solicitor and firm against every regulatory...
Read More >
31st Jul
Practice notes
Firm-based regulationHistorically, only individuals were subject to professional rules and requirements rather than the entities through which they...
Read More >
31st Jul
Practice notes
Relationship between legal regulatorsThere are six main regulatory bodies concerned specifically with the regulation of solicitors’ practices. These...
Read More >
31st Jul
Practice notes
Solicitors Regulation AuthorityThe Solicitors Regulation Authority (SRA) is the independent regulatory arm of the Law Society. It...
Read More >
31st Jul
Practice notes
Dealing with freelance solicitorsThe SRA Standards and Regulations 2019, in force from 25 November 2019, introduce a new method of practising: the...
Read More >
31st Jul
Practice notes
Looking to the future—what to expect following the LSB’s decision on reform of the SRA Handbook—law firms [Archived]The Solicitors Regulation...
Read More >
31st Jul

Popular documents