Regulatory regime

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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 Regulatory regime content

Practice notes
STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval by HM Treasury and any content...
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6th Apr
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 Mar
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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2nd Feb
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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15th Jan
Practice notes
The Solicitors Regulation Authority (SRA) has a published enforcement strategy setting out its approach to enforcement, assessing the seriousness of...
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15th Jan
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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15th Jan
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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15th Jan
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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15th Jan
Practice notes
The Solicitors Regulation Authority (SRA) has wanted to restructure the regulatory structure applying to the solicitors and law firms it regulates for...
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15th Jan
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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15th Jan
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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17th Dec
Practice notes
The Solicitors Regulation Authority (SRA) has three core operational functions: •authorisation (which this Practice Note covers)•supervision (see...
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17th Dec
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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17th Dec
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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7th Dec
Practice notes
This Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and Regulations, in force from 25 November 2019. The...
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7th Dec
Practice notes
The SRA Standards and Regulations set out the standards and requirements that individual lawyers and firms regulated by the Solicitors Regulation...
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7th Dec
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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7th Dec
Practice notes
The Solicitors Regulation Authority (SRA) has three core operational functions:•authorisation (see Practice Note: SRA's authorisation...
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7th Dec
Practice notes
Historically, only individuals were subject to professional rules and requirements rather than the entities through which they practised. Since March...
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7th Dec
Practice notes
The SRA Handbook 2011 sets out standards and requirements that individual lawyers and firms are expected to achieve and observe:•for the benefit of...
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7th Dec

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