About Practice Compliance
Every law firm has a legal duty to comply with the SRA Handbook and a raft of other legislation and regulations. Get it wrong and you personally face investigation, disciplinary action, fines and prosecution (not to mention the damage to your reputation).
GDPR compliance
Practical guidance tools, registers, training aids and other templates to help you comply with data protection law and manage privacy risks
SRA Handbook
Every law firm has a legal duty to comply with the SRA Handbook and a raft of other legislation and regulations. Get it wrong and you personally face investigation, disciplinary action, fines and prosecution.
Topics We Cover
Our Practice Compliance Experts
Melanie O'Brien
David Gilmore
Sarah Mumford
Iain Miller
Susanna Heley
Latest Practice Compliance News
The Office of Financial Sanctions Implementation (OFSI) has updated its guidance on travel and associated expenses requiring a financial sanctions...
This week's edition of Practice Compliance weekly highlights includes major Iran sanctions changes due to take effect on 29 September 2026, including...
Law360, London: The Solicitors Disciplinary Tribunal (SDT) said in a first-of-its-kind ruling released on 3 September 2026 that it has banned a...
HMRC has announced that Illumina Cambridge Limited has paid a £7.4 million compound settlement as an alternative to criminal prosecution for breaches...
The Department for Business, Innovation, Science and Trade (BIST), Foreign, Commonwealth & Development Office (FCDO) and Office of Trade Sanctions...
Latest Practice Compliance Practice Notes
This Practice Note provides a summary of the UK GDPR regime. For a higher-level introduction to UK data protection laws, see Practice Note: Data...
This Practice Note provides further guidance on key definitions used in the United Kingdom General Data Protection Regulation, Assimilated Regulation...
This Practice Note explains the UK financial sanctions and trade sanctions regime under the Sanctions and Anti-Money Laundering Act 2018 (SAMLA...
The Sanctions and Anti-Money Laundering Act 2018 (SAMLA 2018) sets out the UK’s framework for the implementation and enforcement of international...
This Practice Note tells you, on a month-by-month basis, whether we have made substantive amendments to existing content or published new content in...
Latest Practice Compliance Precedents
Date: [insert date]From: [Insert name and job title]Tax evasion is a major issue in world trade, despite the many dedicated efforts to prevent it.Tax...
1. Data breach teamDamage limitation is a priority immediately following a security breach. You will need a team of people to manage the data...
1Introduction1.1We have performed a firm-wide risk assessment (FWRA) to identify the risks to our firm of becoming involved in money laundering,...
We run our business with integrity. Buying goods and services represents a significant portion of [insert organisation’s name]’s total expenditure....
Please click for an Excel version of this register. The Data breach register (also known as a data breach log) reflects reporting and recording...
Latest Practice Compliance Q&As
Featured Practice Compliance content
What is a solicitor's undertaking?
What is a solicitor's undertaking?An undertaking is a commitment by a solicitor to do something. It can be enforced against the solicitor by the...
In what circumstances might a solicitor be able to contact another lawyer's client directly?
SRA Codes of Conduct for individuals and firms
SRA Code of Conduct for individuals and firmsThis Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and...
Acting for yourself, friends and family
Acting for yourself, friends and familyThis Practice Note covers considerations where a law firm wishes to act for one of its own partners or...
Undertakings and the court
Undertakings and the courtThis Practice Note explains:•what powers the court has to enforce undertakings•when it is likely to exercise those...
Duties of confidentiality and disclosure
Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
What is a legal entity identifier (LEI) and does my law firm need one?
Working with foreign lawyers—the registered foreign lawyer (RFL) regime
Working with foreign lawyers—the Registered Foreign Lawyer (RFL) regimeThe Solicitors Regulation Authority (SRA) operates a registration regime for...
Solicitors Regulation Authority
Solicitors Regulation AuthorityThe Solicitors Regulation authority (SRA) is the independent regulatory arm of the Law Society. It...
When and how can I terminate my retainer?
Conveyancing Quality Scheme (CQS) practice management standards—Precedents content map
Conveyancing Quality Scheme (CQS) practice management standards—Precedents content mapThe Law Society's Conveyancing Quality Scheme (CQS) is a quality...
Client care letter—law firms
Client care letter—law firmsDear [Insert client’s name][Insert heading, eg matter description]Thank you for your instructions to act on your behalf in...
Conflicts of interest—law firms and solicitors
Conflicts of interest 2019Conflicts of interest can cause difficult and serious problems for solicitors and law firms, both from a compliance point of...
If an email is sent to you in error by an opposing party’s solicitor, what obligations does one have to notify the client of its contents? If there is no duty to disclose the contents to the client, is there a duty to let them know that the email has been received but deleted?
SRA Accounts Rules—law firms
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,...
Who owns the matter file—law firms?
Risk management—key risks—law firms
Risk management—key risks—law firmsEffective risk management is fundamental to the commercial success of law firms. To manage risk effectively you...
How to close a client matter—law firms
Closing a client matter—law firmsClosing a client matter properly is a basic client care, risk management and housekeeping requirement. There are also...
Associated legal terms
Lawyer-controlled body
Means an authorised body in which lawyers of England and Wales are the national groups with the largest/equal largest share of control.
Legal education
Legal education describes the structured training and study required to become, and remain, a qualified legal professional. It is a descriptive term rather than a defined statutory concept, but underpins regulatory frameworks for solicitors, barristers and advocates across the UK and Ireland.
In England and Wales, legal education typically includes an undergraduate law degree or conversion course, followed by the Solicitors Qualifying Examination (SQE) route for solicitors, or Bar-focused academic and vocational training for barristers. In Scotland, it usually comprises an LLB, the Diploma in Professional Legal Practice and a traineeship. In Northern Ireland and Ireland, it involves recognised law degrees or equivalent qualifications combined with professional training through the Law Society or Bar.
Legal education also covers continuing professional development (CPD) and ongoing competence obligations imposed by regulators (such as the SRA, BSB, Law Society of Scotland, Law Society of Northern Ireland and Law Society of Ireland). It is central to maintaining standards of legal knowledge, ethics and professional skills, and is a key consideration in regulatory compliance, admission, practice rights and career progression.
Qualifying subsidiary
a company (“the subsidiary”) is a qualifying subsidiary of another company (“the relevant company”) if the following conditions are met. The conditions are that— (a) the subsidiary is a 51% subsidiary of the relevant company, (b) no person other than the relevant company, or another of its subsidiaries, has control of the subsidiary, and (c) no arrangements are in existence by virtue of which either of the conditions in paragraphs (a) and (b) would cease to be met.
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