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 Financial Action Task Force (FATF) has published a report on current and potential AI-related risks and trends, with a focus on anti-money...
Law360, London: The overturning by the UK Supreme Court of the convictions of two traders imprisoned for rate rigging, the first use by the anti-fraud...
The Foreign, Commonwealth and Development Office (FCDO), HM Treasury (HMT) and the Office of Financial Sanctions Implementation (OFSI) have updated...
Spotlight on Corruption has published a report assessing the UK’s asset recovery regime eight years after the Criminal Finances Act 2017, finding that...
The Office of Financial Sanctions Implementation (OFSI) has issued General Licence INT/2025/8257372, permitting humanitarian and basic-needs...
Latest Practice Compliance Practice Notes
Compliance officers—law firmsThis Practice Note provides guidance on the role and responsibility of compliance officers in law firms, ie the...
Introduction to the EU GDPR and UK GDPRThis Practice Note provides an introduction to both the EU’s General Data Protection Regulation, Regulation...
Qualifying work experience (QWE)On 1 September 2021, a new route to qualification for aspiring solicitors was introduced—the Solicitors Qualifying...
Exemptions to the UK general data protection regimeFORTHCOMING CHANGE: On 19 June 2025, the Data (Use and Access) Bill received Royal Assent, becoming...
UK sanctions regimes currently in forceForthcoming change: the Foreign, Commonwealth & Development Office and HM Treasury have confirmed the...
Latest Practice Compliance Precedents
Letter recommending insurance—demands and needs—law firm acting for lenderDear [insert name],[insert details of property and lender’s reference]We...
Data subject access request formAsk for copies of your dataYou have the right to ask for copies of your personal data we store and use. This is your...
Privacy policy—general commercial organisations—short formFORTHCOMING CHANGE: On 19 June 2025, the Data (Use and Access) Bill received Royal Assent,...
Modern slavery and human trafficking risk management—annual review1General informationDate of review[Insert date]Person(s) conducting review[Insert...
MLCO and nominated officer—combined job description and role profile—law firms1IntroductionThis job description and role profile relates to the...
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
Authorised body
An Authorised body is a legal services body which has been authorised by the SRA under its Authorisation Rules to practise as a licensed body or a recognised body.
Compliance officer for legal practice
A member of the firm responsible for compliance with regulatory arrangements in accordance with rule 8.5 of the SRA Authorisation Rules.
Licence
A Licence is required by an alternative business structure to provide one or more reserved activities (such as probate services or litigation and advocacy).
CONTACT US
