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).
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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
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Latest Practice Compliance News
The Solicitors Regulation Authority (SRA) Board has applied to the Legal Services Board (LSB) under Part 3 of Schedule 4 to the Legal Services Act...
The Solicitors Regulation Authority (SRA) has launched a consultation on proposed updates to its Statement of Solicitor Competence (SoSC) and...
The Office of Financial Sanctions Implementation (OFSI) has updated its UK Financial Sanctions FAQs, adding FAQ 205 on the status of specific licences...
The Information Commissioner's Office (ICO) has launched a call for evidence to inform its approach to applying data protection law to the distinctive...
The Office of Financial Sanctions Implementation (OFSI) has issued General Licence INT/2026/11080040 under regulation 64 of the Russia (Sanctions) (EU...
Latest Practice Compliance Practice Notes
Updated in December 2025IntroductionThe UK has been one of the favoured locations for global businesses to set up their first base in Europe. The UK...
Updated in May 2026IntroductionAustralia’s strong economy, skilled and multilingual workforce, competitive tax structure and stable political...
It covers the following:•Legal principles•Approaches in outsourcing•Heads of losses•Specific provisions in the agreement•Dealing with data protection...
This Practice Note tracks the development and implementation of corporate criminal liability reform in the UK. It follows the key legislative, policy...
This How-to guide provides guidance on how and when to screen employees under the Money Laundering, Terrorist Financing and Transfer of Funds...
Latest Practice Compliance Precedents
1Preparing for the auditThis section sets out a checklist of issues to be addressed pre-audit.ActionCompletedComments and action pointsDetermine scope...
1Introduction1.1We have conducted an organisation-wide assessment of fraud, covering:1.1.1the risk of failing to prevent fraud being committed on our...
1Lawfulness, fairness and transparencyICO expectation and current statusMore informationLexisNexis® tools and guidanceYour business has conducted an...
1Background informationAssessment for[state whether the assessment relates to the whole organisation or a specific department]Person conducting...
1Introduction1.1This document sets out our policy for dealing with breaches of regulatory requirements that apply to our firm. Some of these...
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
Legal ethics
Legal ethics refers to the professional standards, duties and values governing how lawyers and other legal practitioners conduct themselves in practice. It covers core obligations such as independence, confidentiality, avoidance of conflicts of interest, duties to the court and administration of justice, honesty and integrity, and proper client care.
In the UK and Ireland, “legal ethics” is a descriptive term rather than a single statutory definition. The binding rules are found in professional conduct regimes: for solicitors and barristers in England and Wales (SRA Standards and Regulations, Bar Standards Board Handbook), Scotland (Law Society of Scotland practice rules, Faculty of Advocates rules), Northern Ireland (Law Society of Northern Ireland and Bar of Northern Ireland codes) and Ireland (Law Society of Ireland and Bar of Ireland codes).
Across all four jurisdictions, legal ethics emphasises the lawyer’s overriding duty to the court and the rule of law, even when this conflicts with a client’s immediate interests. It underpins disciplinary processes, regulatory investigations, professional negligence risk, and day‑to‑day decisions on client representation, advocacy, confidentiality and privilege.
Outcomes
The SRA Code of Conduct contains outcomes which when achieved will benefit clients and the public at large.
Relevant tax
“relevant tax” means— (a) income tax, (b) capital gains tax, (c) corporation tax, including any amount chargeable as if it were corporation tax or treated as if it were corporation tax, [(ca) apprenticeship levy,] (d) inheritance tax, (e) stamp duty land tax, and (f) annual tax on enveloped dwellings.
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