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
Susanna Heley
Latest Practice Compliance News
This week's edition of Practice Compliance weekly highlights includes the Legal Ombudsman’s call for input on its draft Model Complaints Resolution...
The Legal Ombudsman (LeO) has launched a call for input on its draft Model Complaints Resolution Procedure. Developed in line with Legal Services...
The Information Commissioner’s Office (ICO) has updated three guidances:...
The Foreign, Commonwealth & Development Office (FCDO), together with the Office of Financial Sanctions Implementation (OFSI), the Office of Trade...
The Office of Financial Sanctions Implementation (OFSI) has issued General Licence INT/2026/9247168 under regulation 64 of the Russia (Sanctions) (EU...
Latest Practice Compliance Practice Notes
Solicitors must consider the mental capacity of their clients in everything they do. The consideration of such capacity will occur where:•there is a...
The Office of Financial Sanctions Implementation (OFSI) is part of HM Treasury. It is involved in communicating about, implementing and enforcing...
This Practice Note explores issues and best practice relating to the sharing of personal data between controllers (including joint controllers and...
This Practice Note explains what a business continuity plan (BCP) is, looks at industry standards requirements in relation to BCPs, and provides...
This Practice Note provides practical guidance on direct marketing, in particular how to comply with the United Kingdom General Data Protection...
Latest Practice Compliance Precedents
1Introduction1.1Bribery and corruption remain major issues in world trade, despite the many dedicated efforts to prevent them. They are very damaging...
1General informationDate of this report[Insert date]Date of last report[Insert date]Name and status of person submitting report[Insert name and...
From [Insert name and job title]Bribery and corruption remain major issues in world trade, despite the many dedicated efforts to prevent them. The...
1Anti-bribery and corruption officer (ABC Officer) detailsName of organisation[Insert name]Name of ABC Officer[Insert name]Reports to[Insert...
1Policy statement1.1The Company is committed to achieving gender equality in our business and implementing interventions that will drive progress...
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
Indicative behaviours
These are in the SRA Code of Conduct and are examples of the type of behaviour which will either demonstrate compliance with, or breach of, the outcomes.
Lawyer-controlled body
Means an authorised body in which lawyers of England and Wales are the national groups with the largest/equal largest share of control.
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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