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:
Breach reporting—law firms
Compliance officers and compliance breaches—law firms—checklist
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.
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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