Supervision & file reviews

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Practice notes
Source of funds and wealth was a key focus of the SRA’s Preventing Money Laundering and Financing of Terrorism thematic review, published in March...
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9th Nov
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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9th Nov
Practice notes
This Practice Note lists high-risk third countries identified by the Financial Action Task Force (FATF), HM Treasury and the European Commission as...
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9th Nov
Practice notes
The purpose of this Practice Note is to provide a general understanding of the offences under section 1, 2 and 6 of the Bribery Act 2010 (BA 2010). It...
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Produced in partnership with Joanne Kane of Carmelite Chambers 12th Jan
Practice notes
An undertaking is a commitment by a solicitor to do something. It can be enforced against the solicitor by the courts. Failure to comply with an...
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9th Nov
Practice notes
Facilitating the performance of a duty by public officialsFacilitation payments, also known as facilitating or grease payments, are generally small...
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Produced in partnership with Richard Furlong of Carmelite Chambers 12th Jan

Most recent Supervision & file reviews content

Practice notes
This Practice Note contrasts the requirements in the SRA’s 2011 and 2019 regimes as well as wider requirements in relation to supervision. There is a...
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5th May
Practice notes
This Practice Note explains how to develop and embed a successful file audit/file review process in your firm. See Practice Note: File audits or file...
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5th May
Practice notes
The SRA's core regulatory requirements in relation to supervision are found in the two Codes of Conduct (the SRA Code for Solicitors 2019 and the SRA...
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5th May
Practice notes
There is no specific regulatory requirement to have a file audit/review process. If you want to achieve Lexcel accreditation then there is a...
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5th May
Practice notes
Supervision means the management of people and their work, and includes supervising fee earners and non-fee earning staff.Proper supervision is a...
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5th May
Precedents

Click for an Excel version of the file audit/review register.

Please note t

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14th Feb
Precedents
1Supervision structure1.1Supervision is achieved through our management structure and reporting lines. These are shown in our structure chart:...
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14th Feb
Precedents
1IntroductionThis document sets out our supervision arrangements, including:1.1our supervision structure;1.2arrangements for supervising client...
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4th Feb
Q&As
There is nothing essentially wrong with law firms employing non-lawyers or with law firms engaging with lawyers or non-lawyers to drive clients. The...
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Produced in partnership with Dr David Smith of JMW Solicitors LLP 8th Jan
Q&As
This Q&A considers the requirements for solicitors and law firms regulated by the Solicitors Regulation Authority (SRA) when supervising remote...
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7th Dec
Q&As
Proper supervision is a regulatory obligation. Supervision means the management of people and their work. You must comply with the SRA’s rules on...
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7th Dec
Q&As
The overarching objective of the SRA Accounts Rules 2019 is to keep client money safe.Client money must be:•paid into a client account promptly•held...
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7th Dec
Q&As
This Q&A reflects requirements in the SRA 2019 regime, effective from 25 November 2019. See Practice Note: Supervision—SRA 2011 regime and SRA 2019...
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7th Dec
Q&As
File reviews show that an organisation takes quality and compliance seriously.File reviews and audits provide meaningful statistics, and if things...
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7th Dec
Precedents
This document provides guidance to [partners OR members OR directors][, managers] and any other member of staff involved in supervising staff working...
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7th Dec
Precedents
Dear AllWe have completed our [annual OR quarterly OR file audit OR review] period.Our [audit OR review] shows that we have made significant...
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7th Dec
Precedents
1General informationReview period[Insert review period]Date of review[Insert date]Person(s) conducting review[Insert name(s)]2ComplaintsNumber of...
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7th Dec
Precedents
1General informationDate of review[Insert date]Person(s) conducting review[Insert name(s)]2Review and findingsIs your Supervision structure chart up...
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7th Dec
Precedents
1General informationDate of monitoring review[Insert date]Person conducting monitoring review[Insert name]2Consolidated dataCriteriaIn the last...
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7th Dec
Precedents
1Preliminary dataReason for audit/review(Tick all that apply)☐ Complaint☐ Routine file audit/review☐ Fee earner request☐ AML☐ Other...
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7th Dec

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