Compliance breaches

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This subtopic focuses on reporting requirements in the SRA Codes of Conduct and the SRA’s enforcement strategy.

For more guidance on the SRA’s regulatory regime, see Practice Notes:

  1. •

    Breach reporting—law firms

  2. •

    Compliance officers and compliance breaches—law firms—checklist

When and what must you report to the SRA

The SRA’s threshold for reporting is expressed as ‘serious breach’—see Practice Note: Breach reporting—law firms—When and what must you report to the SRA.

What is a serious breach?

The SRA has not defined the term ‘serious breach’, stating only that a failure or breach may be serious either in isolation...

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