Supervision & file reviews

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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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...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 Supervision & file reviews content

Practice notes
Supervision 2019—law firmsThe SRA's core regulatory requirements in relation to supervision are found in the two Codes of Conduct (the SRA Code for...
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17th Aug
Practice notes
File audits or file reviews—the basicsThere is no specific regulatory requirement to have a file audit/review process. However, firms that have or...
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16th Aug
Precedents
Supervision policy 2011 [Archived]1Supervision structure1.1Supervision is achieved through our management structure and reporting lines. These are...
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15th Aug
Precedents
Supervision policy—law firms—20191IntroductionThis document sets out our supervision arrangements, including:1.1our supervision...
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15th Aug
Precedents
Email to all staff following annual or quarterly review of file audit and file review dataDear AllWe have completed our [annual OR quarterly OR file...
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15th Aug
Precedents
Supervision—annual review1General informationDate of review[Insert date]Person(s) conducting review[Insert name(s)]2Review and findingsIs your...
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15th Aug
Precedents
Risk data—annual review1General informationReview period[Insert review period]Date of review[Insert date]Person(s) conducting review[Insert...
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15th Aug
Precedents
Quarterly file audit or review monitoring record1General informationDate of monitoring review[Insert date]Person conducting monitoring review[Insert...
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15th Aug
Practice notes
Supervision—regulatory requirements 2011 [Archived]Supervision means the management of people and their work, and includes supervising fee earners and...
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15th Aug
Practice notes
Supervision—SRA 2011 regime and SRA 2019 regime compared This Practice Note contrasts the requirements in the SRA’s 2011 and 2019 regimes as well as...
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15th Aug
Q&As
We are considering working with a non-lawyer, on a self-employed/part time consultancy basis to help promote the firm, eg to chair conferences and...
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Produced in partnership with David Smith of Anthony Gold Solicitors 15th Aug
Precedents
File audit/review form1Preliminary dataReason for review(Tick all that apply)☐ Complaint☐ Routine file audit/review☐ Fee earner request☐ AML☐ Other...
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13th Aug
Q&As
Are file reviews important?File reviews show that an organisation takes quality and compliance seriously.File reviews and audits provide meaningful...
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31st Jul
Q&As
Should partners read all email correspondence?Proper supervision is a regulatory obligation. Supervision means the management of people and their...
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31st Jul
Q&As
Are there any rules or guidance about the handling of cheques that come in the post?The overarching objective of the SRA Accounts Rules 2019 is to...
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31st Jul
Q&As
What are the SRA’s requirements for supervising remote workers?This Q&A considers the requirements for solicitors and law firms regulated by the...
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31st Jul
Q&As
Do we have to have a partner in supervision at every office?This Q&A reflects requirements in the SRA 2019 regime, effective from 25 November 2019....
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31st Jul
Practice notes
Building a file audit or file review processThis Practice Note explains how to develop and embed a successful file audit/file review process in your...
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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

Structure chart—day-to-day

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31st Jul

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