Compliance breaches

Compliance breaches guidance:

This Practice Note is based on reporting requirements in the SRA Codes of Conduct 2019 (in force from 25 November 2019) as amended by the SRA Regulatory Arrangements...

Practice Note

The COLP must take all reasonable steps to ensure compliance with: • the SRA Handbook, except the SRA Accounts Rules • other general regulatory requirements that apply to...

Practice Note

This Practice Note contrasts the requirements in the SRA’s 2011 and 2019 regimes in relation to compliance officers (COLPs and COFAs) and breach reporting. For more...

Practice Note

Legal professional privilege (LPP) protects documents from disclosure to third parties including government agencies, regulators and claimants in civil proceedings. It is...

Practice Note

The Solicitors Regulation Authority (SRA) has a published enforcement strategy setting out its approach to enforcement, assessing the seriousness of an enforcement issue...

Practice Note