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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...
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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...
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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...
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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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...
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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,...
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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...
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19th May
Practice notes
High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
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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...
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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...
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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...
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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...
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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...
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19th May
Practice notes
Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
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19th May
Precedents
1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...
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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...
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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...
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19th May

Most recent Keeping up to date content

Practice notes
Financial management 2019—law firmsThis Practice Note provides guidance on managing financial risk. It reflects the SRA Standards and Regulations 2019...
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Produced in partnership with DG Legal 31st Jul
Practice notes
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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31st Jul
Practice notes
Handling complaints during the coronavirus (COVID-19) epidemic—law firmsThe Legal Ombudsman (LeO) has published guidance for legal service providers,...
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31st Jul
Practice notes
Conflicts of interest—SRA 2011 regime and SRA 2019 regime comparedThis Practice Note contrasts the requirements in the Solicitors Regulation...
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31st Jul
Practice notes
Accountant’s report 2019—law firmsThis Practice Note sets out the requirements of the SRA Accounts Rules 2019, in force from 25 November 2019,...
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31st Jul
Practice notes
Managing a residual balances projectMost firms at any given time have some old, usually small, residual balances on client matters. In the normal...
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Produced in partnership with Sarah Mumford of Sarah Mumford 31st Jul
Practice notes
Client account withdrawals 2019—law firmsThis Practice Note sets out the requirements of the SRA Accounts Rules 2019, in force from 25 November 2019,...
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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...
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31st Jul
Practice notes
Conflicts of interest—systems and controls 2019The SRA Codes of Conduct (the SRA Code for Solicitors, RELs and RFLs (Code for Solicitors) and the SRA...
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31st Jul
Precedents
Remote supervision guidelines for supervisors—law firmsThis document provides guidance to [partners OR members OR directors][, managers] and any other...
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31st Jul
Precedents
SRA Accounts Rules breach register—COFA—law firmsPlease click for an Excel version of this register.This Precedent SRA Accounts Rules breach register...
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31st Jul
Precedents
Training materials—breach reporting 2019—law firmsThis Precedent presentation is intended for law firms. It has been designed as an aid to train your...
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31st Jul
Precedents
Deed of indemnity—compliance officer for finance and administration (COFA)This Deed is made on [insert date]Parties1[The persons whose names and...
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31st Jul
Precedents
Training materials—SRA Standards and RegulationsThe SRA Standards and Regulations are in force from 25 November 2019. This presentation has been...
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31st Jul
Precedents
Training materials—an introduction to compliance 2019—law firmsThis presentation has been designed as a training aid that you can use to introduce...
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31st Jul
Precedents
Residual balances registerThis Residual balances register enables you to comply with the requirements of the SRA Accounts Rules 2019, to keep a...
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30th Jul
Precedents
Training materials—SRA Code of Conduct for Solicitors, RELs and RFLs—law firmsThe SRA Standards and Regulations are in force from 25 November 2019....
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30th Jul
Q&As
The General Data Protection Regulation (GDPR) provides for enhanced rights for data subjects, including providing rights of rectification, erasure and...
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24th Mar

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