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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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 Solicitors Regulation Authority (SRA) has confirmed that its ongoing investigation into PM Law Ltd concerns suspected fraud involving the...
The Department for Business and Trade (DBT) and the Office of Trade Sanctions Implementation (OTSI) have published guidance for businesses on...
The Department for Science, Innovation and Technology (DSIT) has invited organisations to adopt a voluntary Cyber Resilience Pledge aimed at...
The Council of the European Union has adopted a new directive to harmonise the definition of corruption across Member States and to introduce common...
The LexisNexis UK Practice Compliance practical guidance team has launched a refreshed suite of horizon scanning and development tracking content on...
Latest Practice Compliance Practice Notes
The Solicitors Regulation Authority (SRA) operates a registration regime for foreign lawyers. Once registered, a registered foreign lawyer (RFL) can...
This Practice Note considers legal professional privilege (LPP), which is made up of legal advice privilege and litigation privilege. It considers the...
This Practice Note is intended for law firms. It covers some frequently asked questions in relation to politically exposed persons (PEPs) under the...
Outsourcing is a common feature of many law firms’ business models. It can offer benefits to firms and their clients in cost and efficiency.This...
The Legal Services Board (LSB) is the single independent oversight regulator of the legal profession and sector in England and Wales. It does not...
Latest Practice Compliance Precedents
QuestionAnswer1. Under the SRA Standards and Regulations, how many Codes of Conduct are there?(b) Two2. How many SRA Principles are there?(b) 73. Who...
1Policy statement1.1The Company is fully committed to promoting equality, diversity and inclusion (sometimes referred to as EDI), by which we...
1Initial KPIsObjectiveAction stepIndicatorIncrease understanding of modern slavery risk within our supply chain.Identify suitable training workshops...
Dear [Insert client’s name][Insert heading, eg matter description]Thank you for your instructions to act on your behalf in connection with [describe...
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...
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
Fee sharer
Means anyone or any entity with whom an authorised firm shares their professional fees.
Legal ombudsman service
A body established to resolve complaints about service standards which are brought against lawyers of England and Wales.
Prize
“prize” in relation to a gaming machine— (a) includes any money, article, right or service won, whether or not described as a prize, but (b) does not include an opportunity to play the machine again.
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