Authorisation & regulation

Master compliance within legal practice with our in-depth guidance on authorisation and regulation. Delve into clear and actionable advice, ensuring your firm meets statutory requirements, maintains ethical standards, and operates within the boundaries of professional regulations. Elevate your business with insights essential for seamless compliance management.

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Authorisation & approval COLP and COFA Regulatory regime Separate businesses

Latest Practice Compliance News

FATF report examines AML/CFT risks in AI

FATF report examines AML/CFT risks in AI
The biggest financial crime cases of 2025

The biggest financial crime cases of 2025

The following Corporate Crime news provides comprehensive and up to date legal information on The biggest financial crime cases of 2025

FCDO, HMT and OFSI update guidance on consolidating UK sanctions lists by January 2026

FCDO, HMT and OFSI update guidance on consolidating UK sanctions lists by January 2026
Spotlight on Corruption finds UK asset recovery has stalled since Criminal Finances Act

Spotlight on Corruption finds UK asset recovery has stalled since Criminal Finances Act

Featured Practice Compliance content

What is a solicitor's undertaking?

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?

In what circumstances might a solicitor be able to contact another lawyer's client directly?

In what circumstances might a solicitor be able to contact another lawyer's client directly?The current SRA Standards and Regulations (STaR) are...

SRA Codes of Conduct for individuals and firms

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 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...

Practice notes

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...
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30th May
Practice notes

Duties of confidentiality and disclosure

Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
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30th May
Q&As

What is a legal entity identifier (LEI) and does my law firm need one?

What is a legal entity identifier (LEI) and does my law firm need one?What is a legal entity identifier?A legal entity identifier (LEI) is...
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2nd Jun
Practice notes

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...
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30th May
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Practice notes

Solicitors Regulation Authority

Solicitors Regulation AuthorityThe Solicitors Regulation authority (SRA) is the independent regulatory arm of the Law Society. It...
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30th May
Q&As

When and how can I terminate my retainer?

When and how can I terminate my retainer?This Q&A is intended for law firms. It deals with when you can terminate your retainer. Incorrectly...
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30th May
Practice notes

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...
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30th May
Precedents

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...
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2nd Jun
Practice notes

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...
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30th May
Q&As

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?

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...
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2nd Jun
Practice notes

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,...
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30th May
Q&As

Who owns the matter file—law firms?

Who owns the matter file—law firms?Law firm matter/case files typically contain a range of documentation and information, which can be held...
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2nd Jun
Practice notes

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...
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2nd Jun
Practice notes

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...
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30th May
Practice notes

Counter-proliferation financing—CPF—the basics

Counter-proliferation financing—CPF—the basicsThis Practice Note explains counter-proliferation financing (CPF). It sets out regulatory requirements...
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2nd Jun
Practice notes

File audits or file reviews—the basics

File audits or file reviews—the basicsThere is no specific regulatory requirement to have a file audit/review process. However, firms that have or...
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2nd Jun

Popular documents

SRA Codes of Conduct for individuals and firms

SRA Codes of Conduct for individuals and firmsThis Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and Regulations. The SRA Standards and Regulations include two Codes of Conduct—a Code for Solicitors, RELs and RFLs and a Code for Firms. The Standards and

Training materials—SRA Code of Conduct for Solicitors, RELs and RFLs—law firms

Training materials—SRA Code of Conduct for Solicitors, RELs and RFLs—law firmsThe SRA Standards and Regulations include two Codes of Conduct, one for firms and one for solicitors, RELs and RFLs. This presentation has been designed as a training aid that you can use to introduce your firm’s staff to

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 foreign lawyers. Once registered, a registered foreign lawyer (RFL) can become a manager or owner of a law firm with solicitor managers/owners. The SRA

Priority between loss reliefs in loss making companies

Priority between loss reliefs in loss making companiesWhy does it matter?A company that is a member of a group and has incurred any of the types of losses available for surrender by way of group relief may, without any further rules, have more than one way in which to use the loss. There are a