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
The Financial Services and Markets Bill, as introduced in May 2026, includes provisions that would reform aspects of the UK’s anti-money laundering...
Law360, London: On April 16 2026, the High Court in Aabar Holdings S.À.R.L. and others v Glencore plc and others [2026] EWHC 1328 (Comm) confirmed...
Spotlight on Corruption has published its submission to the Home Office's consultation on economic crime information sharing, which closed in May...
This week's edition of Practice Compliance weekly highlights includes the FCA’s findings from its review of firms’ sanctions systems and controls, the...
The Serious Fraud Office (SFO) has warned that companies which fail to self–report suspected economic crime face an increased risk of enforcement...
Latest Practice Compliance Practice Notes
All websites should be accessible, especially by people with disabilities. Access to websites is governed by the Equality Act 2010 (EqA 2010) and the...
The Sanctions and Anti-Money Laundering Act 2018 (SAMLA 2018) sets out the UK’s framework for the implementation and enforcement of international...
This Practice Note is a horizon scanner tracking key future developments in the field of financial crime and sanctions compliance in England and...
This How-to-guide provides practical guidance on how to establish an independent audit function to audit your organisation’s compliance with the Money...
This How-to-guide provides practical guidance on how to design and manage group-level policies, controls and procedures under the Money Laundering,...
Latest Practice Compliance Precedents
Hyperlinking to us[You may not provide a link to our website without our express written consent. If you wish to provide a link to our website, please...
STOP PRESS: This document is being updated to reflect implementation of the Data (Use and Access) Act 2025 (DUAA 2025) which amends the UK GDPR and...
We take your privacy very seriously. Please read this privacy policy carefully as it contains important information on who we are and how and why we...
Policy version: [insert date of this policy][—for previous versions of this policy see here].[Insert website] (our website) is provided by [insert...
We take your privacy very seriously. Please read this privacy policy carefully as it contains important information on how and why we collect, store,...
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
Make available
Funds/economic resources are made available for the benefit of a target only if they thereby obtain, or are able to obtain, a significant financial benefit. OFSI says it will apply the normal and everyday usage of those words. The provision of basic economic resources for personal consumption is not likely to be viewed by OFSI as having made them available directly or indirectly to or for the benefit of a designated person.
Registered European Lawyer
This is a European lawyer registered with the Solicitors Regulation Authority under regulation 17 of the European Communities (Lawyers Practice Regulations) 2000 (SI 2000/1119).
SRA handbook
The SRA Handbook [2011] is the Solicitors Regulation Authority's rulebook which contains all its rules, regulations and other provisions governing those individuals and firms regulated by the SRA.
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