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 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
Conditional fee agreements—definition and requirementsWhat is a CFA?A CFA is defined as:‘An agreement with a person providing advocacy or litigation...
Financial Action Task Force (FATF)Introduction to FATFThe Financial Action Task Force (FATF) was set up in 1989 as an inter-governmental body which...
International sanctions—an introductionForthcoming change: the Foreign, Commonwealth & Development Office and HM Treasury have confirmed the...
New and updated content 2023—Practice Compliance [Archived]ARCHIVED: This Practice Note has been archived and is not maintained. For more information,...
What’s new and what’s changed in 2021—Practice Compliance [Archived]ARCHIVED: This Practice Note has been archived and is not maintained. For more...
Latest Practice Compliance Precedents
Response to data subject request—right of access—unable to comply with request[insert name of individual making request][insert address of individual...
UK GDPR—2022 standard contractual clauses (SCCs) for the transfer of personal data outside the UK—International Data Transfer Agreement (IDTA) In...
COLP or COFA monthly compliance monitoring recordIt is not realistic to monitor every area of compliance every month. We take a risk-based approach by...
Financial sanctions match report formInstructions on completing this formYou must complete this form in full, attach any required documentation (as...
Risk data—annual review1General informationReview period[Insert review period]Date of review[Insert date]Person(s) conducting review[Insert...
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
Economic resources
Assets of every kind, whether tangible or intangible, movable or immovable, which are not funds but may be used to obtain funds, goods or services.
Licence conditions
When the Solicitors Regulation Authority grants a Licence to an Alternative Business Structure (ABS), that Licence will be subject to general conditions.
Postal operator
“Postal operator” means a person providing a postal service to persons in the United Kingdom.
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