Authorisation & regulation

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Precedents
1DefinitionsModern Slavery Policy•means the Customer's anti-slavery and human trafficking policy as set out in Schedule [insert] as updated by the...
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9th Nov
Practice notes
Source of funds and wealth was a key focus of the SRA’s Preventing Money Laundering and Financing of Terrorism thematic review, published in March...
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9th Nov
Practice notes
This Practice Note provides an introduction to retained EU law, which is an entirely new legal concept introduced to UK domestic law in preparation...
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9th Nov
Precedents
DRAFTING FOR BREXIT: For the latest information on the impact of Brexit on the drafting, negotiation and enforceability of this Precedent, see...
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9th Nov
Precedents
How to use this testThese questions are designed to test your understanding after your attendance at our training on avoiding bribery and...
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9th Nov
Practice notes
The compliance officer for legal practice (COLP) sits at the heart of the firm's regulatory arrangements. This does not mean that the firm and its...
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9th Nov

Most recent Authorisation & regulation content

Practice notes
This Practice Note reflects advice, guidance and updates issued by the SRA and Law Society on the impact of the coronavirus (COVID-19) on the...
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18th Nov
Q&As
Only lawyers qualified in an EU Member State are able to practise EU law or argue before EU tribunals such as the Court of Justice of the European...
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18th Nov
Practice notes
There are six main regulatory bodies concerned specifically with the regulation of solicitors’ practices. These are the:•Legal Services Board...
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27th Oct
Practice notes
The Solicitors Regulation Authority (SRA) is the independent regulatory arm of the Law Society. It regulates:•individual solicitors, registered...
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27th Oct
Practice notes
The Legal Services Board (LSB) is the single independent oversight regulator of the legal profession and sector in England and Wales. It does not...
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27th Oct
Practice notes
The solicitors’ profession is highly regulated. As well as the primary legal regulators, such as the Legal Services Board (LSB) and Solicitors...
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23rd Oct
Practice notes
The way the Solicitors Regulation Authority (SRA) regulates the solicitors’ profession has been evolving since its inception—from a prescriptive...
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8th Oct
Precedents
This Deed is made on [insert date]Parties1[The persons whose names and addresses are set out in the Schedule (each a Partner and together...
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30th Sep
Precedents
1Compliance officer for legal practice (COLP) detailsName of firm[Insert firm name]Name of COLP[Insert name]Reports to[Insert name]Full time/part...
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30th Sep
Precedents
1Compliance officer for finance and administration (COFA) detailsName of firm[Insert firm name]Name of COFA[Insert name]Reports to[Insert name]Full...
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30th Sep
Precedents
This Deed is made on [insert date]Parties1[The persons whose names and addresses are set out in the Schedule (each a Partner and together...
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30th Sep
Q&As
Our understanding is that whether legal professional privilege (LPP) is available is a matter of common law. We do not understand the SRA’s proposals...
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28th Sep
Q&As
The firm’s COLP and COFA are required to ensure compliance by the firm and its managers, employees or interest holders with the SRA’s regulatory...
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28th Sep
Q&As
All firms must have a compliance officer for legal practice (COLP), authorised by the SRA. This Q&A explains whether your COLP has to be full-time or...
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28th Sep
Q&As
The Financial Conduct Authority (FCA) is the single statutory regulator of the financial services industry in the UK, it is operationally independent...
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28th Sep
Practice notes
At the end of September 2017, the SRA launched a further consultation as part of its ‘Looking to the Future’ reforms of the SRA Handbook. The...
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27th Sep
Practice notes
In June 2016, the SRA launched plans to 'radically' simplify the SRA Handbook. It published two initial consultation papers:•Looking to the future:...
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27th Sep
Practice notes
Less than five years since the SRA Handbook 2011 came into force in October 2011 (and sixteen versions later), the SRA published a consultation paper...
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27th Sep
Practice notes
The SRA Accounts Rules are due for an overhaul. Following two earlier reviews, the SRA made changes to the rules in 2015 and 2016, focusing mainly on...
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27th Sep
Practice notes
Less than five years since the SRA Handbook 2011 came into force in October 2011 (and sixteen versions later), the SRA published a consultation paper...
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27th Sep

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