Compliance breach report form—internal—law firms
Compliance breach report form—internal—law firms

The following Practice Compliance precedent provides comprehensive and up to date legal information covering:

  • Compliance breach report form—internal—law firms

This form should be used by staff to report a suspected compliance breach to the firm’s COLP or COFA.

All staff must promptly report any facts or matters they reasonably believe are capable of amounting to a compliance breach (see our Breach reporting policy for what this means). You do not have to be certain that a compliance breach has happened—you just need a reasonable belief that something may constitute a compliance breach.

We will not (and you must not) subject any person to detrimental treatment for making or proposing to make a report or providing, or proposing to provide, information based on a reasonably held belief. This is the case irrespective of whether the SRA or another approved regulator subsequently investigates or takes any action in relation to th

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