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
MLex: Complaints over UK companies’ handling of personal data are less likely to be investigated under a new Information Commissioner’s Office...
The European Commission has announced that around 190 organisations have signed the voluntary Code of Practice on Transparency of AI-generated Content...
The Solicitors Regulation Authority (SRA) has applied to the Legal Services Board (LSB) for approval to raise compensation fund contributions for...
The Information Commissioner's Office (ICO) has published a findings report on the viability of a data protection Statutory Regulatory Sandbox (SRS)....
This week's edition of Practice Compliance weekly highlights includes the EU’s 21st package of sanctions against Russia, the Court of Appeal’s refusal...
Latest Practice Compliance Practice Notes
The Bribery Act 2010 (BA 2010) was passed to ensure the UK’s compliance with the Organisation for Economic Co-operation and Development's (OECD)...
This Practice Note is a horizon scanner tracking key future developments in the field of financial crime and sanctions compliance in England and...
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 considers the extent to which employers can ask questions of a prospective employee about criminal convictions and cautions, and...
This Practice Note provides a summary of the key Practice Compliance developments which have impacted compliance professionals in England and Wales in...
Latest Practice Compliance Precedents
Date: [insert date]1IntroductionArtificial intelligence (AI) has the potential to transform the way we work, improve the services we provide and boost...
1Our contract with you1.1These Terms of Business (as updated from time to time) apply to all work we do on your behalf. It is an important...
Dear [insert name of individual making request]I am writing in response to your data subject request dated [insert date of request], which we received...
This register has been prepared in Excel and it therefore cannot be downloaded to Word.The AI risk register is illustrative and fully editable in...
1Background informationName and position of person(s) conducting assessment[Insert name]Date of this assessment[Insert date]2Preliminary screeningWas...
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
In-house lawyer
A solicitor, registered European lawyer or registered foreign lawyer who works for a firm which is not regulated by the SRA or another Approved Regulator
Practising certificate
Certification issued by the Solicitors Regulation Authority which enables the individual to practise as a solicitor and to hold themselves out as a solicitor.
Registered foreign lawyer
This is foreign lawyer (other than a European lawyer) registered with the Solicitors Regulation Authority under the Courts and Legal Services Act 1990.
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