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
The Foreign, Commonwealth & Development Office, represented by Hamish Falconer MP and the Rt Hon David Lammy MP, announced new sanctions against three...
MLex: UK government plans to consolidate sanctions lists and speed up enforcement of civil-law breaches will be welcomed as aims, but the new plan...
The Office of Financial Sanctions Implementation (OFSI) has issued two General Licences under The Russia (Sanctions) (EU Exit) Regulations 2019, SI...
The Foreign, Commonwealth & Development Office (FCDO), in partnership with HM Treasury, the Department for Business and Trade, the Department for...
Law360, London: The Solicitors Regulation Authority said 13 May 2025 that it will abandon proposals to fine law firms based on their global turnover...
Latest Practice Compliance Practice Notes
Failure to prevent fraud—the offenceThis Practice Note explores the offence of failure to prevent fraud under the Economic Crime and Corporate...
OFSI General Licence trackerThis Practice Note tracks General Licences issued by the Office of Financial Sanctions Implementation (OFSI) under the UK...
Privacy notices—information requirementsThis Practice Note sets out information requirements that are contained at various places in the UK General...
Money Laundering Regulations 2017—politically exposed persons—PEPsIndividuals who have, or have had, a high political profile, or hold, or have held,...
Money Laundering Regulations 2017—enhanced due diligence—law firmsThis Practice Note explains your obligations around enhanced due diligence (EDD) and...
Latest Practice Compliance Precedents
Register of compliance reviewsThis Precedent can be used as a central record, for each area of compliance relevant to your firm, of when you last...
Governance arrangements—periodic review1General informationDate of reviewPerson(s) conducting review[Insert date][Insert name(s)]2Review and...
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Direct marketing policy—data protection compliance1Introduction1.1This direct marketing policy is intended for members of staff who are involved in...
AML, CTF and counter-proliferation financing policy—law firms1Introduction to the policy1.1[Firm name] is required to put in place appropriate systems...
Latest Practice Compliance Q&As
Featured Practice Compliance content
SRA Code 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...
Duties of confidentiality and disclosure 2019
Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
Conflicts of interest 2019
Conflicts of interest 2019Conflicts of interest can cause difficult and serious problems for solicitors and law firms, both from a compliance point of...
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...
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...
Compliance officer for legal practice—COLP—title and duties 2011 [Archived]
Compliance officer for legal practice—COLP—title and duties 2011 [Archived]The compliance officer for legal practice (COLP) sits at the heart of the...
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...
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...
Money Laundering Regulations 2017—source of funds and source of wealth
Money Laundering Regulations 2017—source of funds and source of wealthSource of funds and wealth was a key focus of the SRA’s Preventing Money...
Pre-employment checks—law firms
Pre-employment checks—law firmsWhile the application form and interview process will give you some assurances as to a candidate's suitability for a...
What are the ramifications for a solicitor who does not comply with Law Society Formula B undertakings and/or did not hold their client's part of the contract at the point of exchange? If the contract later comes into dispute does an action lie with that solicitor or their firm?
When and how can I terminate my retainer?
Solicitors Regulation Authority
Solicitors Regulation AuthorityThe Solicitors Regulation authority (SRA) is the independent regulatory arm of the Law Society. It...
Risk management policy—law firms
Risk management policy—law firms1Introduction1.1Risk management is central to the regulatory regime under which we operate. [Insert name of firm] is...
Money laundering compliance officer—law firms
Money laundering compliance officer—law firmsThis Practice Note is intended for law firms that are subject to the Money Laundering, Terrorist...
Client conflicts in conveyancing or property matters—when can you act?
Client conflicts in conveyancing or property matters—when can you act?There are two types of conflict: own interest conflicts (sometimes called...
Closing 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...
Dealing with freelance solicitors
Dealing with freelance solicitorsFrom 25 November 2019, the SRA Standards and Regulations introduced a new method of practising: the freelance...
Associated legal terms
Overseas practice
This is practice from an office outside England and Wales, except in the case of registered European lawyers where it is restricted to practice from an office in Scotland and Northern Ireland only.
Postal operator
“Postal operator” means a person providing a postal service to persons in the United Kingdom.
SRA principles
The SRA Principles preface the SRA Handbook and set out mandatory and fundamental requirements for ethical behaviour and practice for those individuals and firms regulated by the SRA.
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