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.
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Our Practice Compliance Experts
Melanie O'Brien
David Gilmore
Sarah Mumford
Iain Miller
Susanna Heley
Latest Practice Compliance News
Chair of the Home Office Independent Review of Disclosure and Fraud Offences, Jonathan Fisher KC has published an update outlining the progress of the...
This week's edition of Practice Compliance weekly highlights includes: OFSI’s new confidential reporting guidance, a Red Alert on Russian oil...
Law360, London: Businesses that replace workers with artificial intelligence (AI) tools could face difficulties when they make claims under standard...
The Office of Financial Sanctions Implementation (OFSI) has updated its UK Financial Sanctions FAQs, adding FAQ 149 on ‘What constitutes an economic...
The National Crime Agency (NCA), Office of Financial Sanctions Implementation (OFSI) and Foreign Commonwealth & Development Office (FCDO) have jointly...
Latest Practice Compliance Practice Notes
Processing special category personal data of third parties—law firmsThis Practice Note is intended for law firms but it may also be relevant to...
How to manage a personal data breachData security is a cornerstone of the UK General Data Protection Regulation (UK GDPR). The sixth data protection...
Cybercrime who's whoThe UK has one of the most web-based economies in the world, with the UK internet market valued in the order of billions of pounds...
Consumer credit from 1 April 2016: SRA examplesThis Practice Note sets out a number of activities firms may engage in that stray into the realms of...
SRA Accounts Rules—law firmsThis Practice Note sets out the requirements of the SRA Accounts rules, in force from 25 November 2019, together with...
Latest Practice Compliance Precedents
Anti-bribery and corruption—agent/intermediary due diligence flowchartThis Flowchart is a guide for staff involved in the anti-bribery and corruption...
Cybercrime risk assessment1Introduction1.1We have performed an organisation-wide assessment of the risk of our systems and/or services falling victim...
Sanctions licence logThis Precedent Sanctions licence log is designed to help organisations keep a record of licences issued under the UK sanctions...
Data protection complaint formThis form is intended to help you to submit a data protection complaint in a way that will enable us to investigate and...
Publicity policy—law firms1Introduction1.1Publicity in relation to our firm or any other business must be accurate and not misleading or likely to...
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
Client money
Money which is held or received for a client or as a trustee.
Professional indemnity
All regulated entities must have compulsory professional indemnity insurance.
Referral arrangement
Any arrangement to refer or recommend a client to a third party or to be introduced to a client by a third party.
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