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 the facts or matters in question.

    1. 1

      Instructions for using this form

      Please complete section 2 and submit this form as shown below:

      All reports except on SRA Accounts Rules Reports on SRA Accounts Rules
      Submit to COLP by [email to [insert address] OR [state reporting mechanism]. OR
      If you wish to make an anonymous report, you can [
      state mechanism, eg simply omit your name from the internal compliance breach report form and send it to the COLP by a non-electronic method, eg internal post

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