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 the latest UKFIU guidance on the use of AI to bypass customer due diligence...
The UK Financial Intelligence Unit’s (UKFIU) magazine, SARs in Action, has published its 37th issue. The UKFIU’s 37th issue of SARs in Action...
The Solicitors Regulation Authority (SRA) has published a warning notice directed at all solicitors and law firms under its regulation. The notice...
This week's edition of Practice Compliance weekly highlights includes amendments to three OFSI general licences, further UK sanctions designations...
The Information Commissioner's Office (ICO) has launched Data Protection Essentials, a free online training programme designed to give small and...
Latest Practice Compliance Practice Notes
This Practice Note is based on the UK General Data Protection Regulation (UK GDPR) and consent guidance published by the Information Commissioner’s...
This Practice Note is intended for private-sector commercial organisations in the UK. It sets out expectations of the Information Commissioner’s...
This Practice Note considers the key employment law issues which may arise when drafting and negotiating outsourcing arrangements, focusing in...
This Practice Note is aimed at compliance professionals in law firms. It tracks key future developments in law firm compliance in England and Wales....
This Practice Note tells you, on a month-by-month basis, whether we have made substantive amendments to existing content or published new content in...
Latest Practice Compliance Precedents
1Background informationName of introducer/fee sharer[Insert name]Financial or other terms of the arrangement[Insert financial and/or other terms]Name...
1GeneralCompany name[Insert company name]Address[Insert address]Principal country of business[Insert country]Other countries of business[Insert...
Phishing is where someone initiates an electronic communication such as an email which is designed to trick the user for the purpose of stealing...
Please read this cookie policy carefully as it contains important information on who we are and how we use cookies and other similar storage and...
Please click for the Precedent Legal risk register.Please note that this register has been prepared in Excel and it therefore cannot be downloaded to...
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
Interception
A person intercepts a communication in the course of its transmission by means of a telecommunication system if, and only if— (a) the person does a relevant act in relation to the system, and (b) the effect of the relevant act is to make any content of the communication available, at a relevant time, to a person who is not the sender or intended recipient of the communication.
Legal ombudsman service
A body established to resolve complaints about service standards which are brought against lawyers of England and Wales.
Paralegal
The term paralegal is used to describe an individual who is employed in a legal services firm under the supervision of qualified lawyers to carry out legal work.
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