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 updated government guidance on AML information sharing under the Economic Crime...
The Home Office, HM Treasury, Ministry of Justice, Companies House, Serious Fraud Office and Department for Business and Trade have updated guidance...
This week's edition of Practice Compliance weekly highlights includes OFSI’s penalty on Colorcon for Russia sanctions breaches, OFSI’s new and updated...
The Solicitors Regulation Authority (SRA) has issued a statement confirming that the High Court judgment in Mazur and another v Charles Russell...
The National Crime Agency (NCA) and The Law Society have launched a joint campaign aimed at solicitors and conveyancers to address payment diversion...
Latest Practice Compliance Practice Notes
Economic Crime and Corporate Transparency Act 2023—compliance implications—law firmsThis Practice Note identifies key sections of the Economic Crime...
New and updated content 2025—Practice ComplianceThis Practice Note tells you, on a month-by-month basis, whether we have made substantive amendments...
Introduction to the EU GDPR and UK GDPRThis Practice Note provides an introduction to both the EU’s General Data Protection Regulation, Regulation...
SRA's supervision functionThe Solicitors Regulation Authority (SRA) has three core operational functions:•authorisation (see Practice Note: SRA's...
Information security lifecycleInformation security has become a business-critical issue. It is not something you can tackle in isolation, as there are...
Latest Practice Compliance Precedents
New supplier application form—procurement—general commercial organisationPlease ensure all relevant details about the new supplier are provided. This...
Client satisfaction surveyYour opinions are very important to us. They help us continually improve the service we provide and recognise when our...
Remote working and removable media policy1Introduction1.1While remote working (whether at home or on the go) and removable media offer our business...
Training materials—organised crimeThis presentation has been designed as an aid to train your staff on the offence of participating in the activities...
Anti-bribery and corruption—charitable and political donations FAQsWe run our business[es] with integrity. All of us must work together to ensure our...
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.
Legal activity
This is a defined term in the Legal Services Act 2007.
Regulatory objectives
The regulatory objectives are set out in section 1 of the Legal Services Act 2007
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