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.
Topics We Cover
Our Practice Compliance Experts
Melanie O'Brien
David Gilmore
Sarah Mumford
Iain Miller
Susanna Heley
Latest Practice Compliance News
This week's edition of Practice Compliance weekly highlights includes a High Court ruling on AML oversight failures at a City law firm and updates to...
Law360, London: On 6 November 2025, HM Treasury shared a consultation on anti-money laundering (AML) and counter-terrorist financing (CTF) supervision...
Law360, Expert analysis: 2025 brought the financially regulated community many gifts in the form of promised reforms. Michael Lewis, partner and head...
The European Commission has proposed a new cybersecurity package aimed at addressing increasingly sophisticated cyber and hybrid threats facing the...
Corporate Crime analysis: Rahman Ravelli’s legal director, Dr. Angelika Hellweger and associate, Tatiana Novikova outline the UK’s approach to...
Latest Practice Compliance Practice Notes
Enhancing watch list screeningScreening is a crucial element in sanctions due diligence. However, the complex nature of watch list screening creates...
New and updated content 2026—Practice ComplianceThis Practice Note tells you, on a month-by-month basis, whether we have made substantive amendments...
How to complete a transfer risk assessment—international data transfer—ICO methodologySTOP PRESS: This Practice Note is being updated to reflect...
How to complete a transfer impact assessment—international data transfer—EU methodologySTOP PRESS: This Practice Note is being updated to reflect...
Appointing a European representative—data protectionSTOP PRESS: This Practice Note is being updated to reflect revised ICO guidance on international...
Latest Practice Compliance Precedents
Fraud risk management policy1Introduction1.1Fraud is a major issue affecting individuals and businesses in every country and in every sector.1.2Fraud...
Message from CEO on introduction of fraud risk management policyDate: [insert date]From: [Insert name and job title]According to government figures,...
Message from CEO/Senior Member/Senior Partner on the introduction of a financial sanctions policyFrom [insert name and job title]1Policy statementWe...
Message from CEO reinforcing the financial sanctions policyFrom [Insert name and job title]1Policy statementWe run our business[es] with integrity....
International data transfer—data recipient questionnaireSTOP PRESS: This Precedent is being updated to reflect revised ICO guidance on international...
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
Licence conditions
When the Solicitors Regulation Authority grants a Licence to an Alternative Business Structure (ABS), that Licence will be subject to general conditions.
Qualifying subsidiary
a company (“the subsidiary”) is a qualifying subsidiary of another company (“the relevant company”) if the following conditions are met. The conditions are that— (a) the subsidiary is a 51% subsidiary of the relevant company, (b) no person other than the relevant company, or another of its subsidiaries, has control of the subsidiary, and (c) no arrangements are in existence by virtue of which either of the conditions in paragraphs (a) and (b) would cease to be met.
SRA Recognised Bodies Regulations 2011
These Regulations regulate the practice, including applications to be recognised, of law firms which are recognised bodies.
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