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.
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Our Practice Compliance Experts
Melanie O'Brien
David Gilmore
Sarah Mumford
Iain Miller
Susanna Heley
Latest Practice Compliance News
The Office of Financial Sanctions Implementation (OFSI) has published its Property and Related Services Threat Assessment Report. The report forms...
The National Crime Agency (NCA) has secured the UK’s first convictions for breaches of Russian linked financial sanctions. The former...
This week's edition of Practice Compliance weekly highlights includes the European Commission's updated Model Contractual Clauses for AI Procurement...
The Solicitors Regulation Authority (SRA) published updated guidance on race equality in the workplace on 9 April 2025. The extensively revised...
Risk & Compliance analysis: When the UK’s Modern Slavery Act 2015 (MSA 2015) passed into law it was viewed as a world-leading piece of legislation....
Latest Practice Compliance Practice Notes
The UK sanctions framework under SAMLA 2018 This Practice Note explains the UK financial sanctions and trade sanctions regime under the Sanctions and...
The continuing competence regimeUnder the SRA Standards and Regulations:•solicitors, registered European lawyers (RELs) and registered foreign lawyers...
What’s new and what’s changed in 2020—Practice Compliance [Archived]ARCHIVED: This Practice Note has been archived and is not maintained. For more...
CDD requirements and resources for companies in the United States of AmericaThis Practice Note is a one-stop shop for client due diligence (CDD)...
Introductions to third parties—general regulatory requirements 2011 [Archived]This Practice Note explains generic regulatory requirements that apply...
Latest Practice Compliance Precedents
Privacy policy—law firms and professional servicesWe take your privacy very seriously. Please read this privacy policy carefully as it contains...
Letter explaining DBA—general litigation or advocacyStandard DBA (general litigation or advocacy)We have discussed various options for funding your...
Anti-bribery—overseas partner/joint venture due diligence form1ScreeningRequirementFurther comment or actions identified☐ Consider the level of...
Register of tax evasion facilitation prevention policies, plans and proceduresClick to download this register in...
Website terms and conditions of use1About our terms1.1These terms and conditions of use (Terms) explain how you may use this website and any of its...
Latest Practice Compliance Q&As
Featured Practice Compliance content
SRA Code 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...
Duties of confidentiality and disclosure 2019
Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
Conflicts of interest 2019
Conflicts of interest 2019Conflicts of interest can cause difficult and serious problems for solicitors and law firms, both from a compliance point of...
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...
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...
Compliance officer for legal practice—COLP—title and duties 2011 [Archived]
Compliance officer for legal practice—COLP—title and duties 2011 [Archived]The compliance officer for legal practice (COLP) sits at the heart of the...
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...
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...
Money Laundering Regulations 2017—source of funds and source of wealth
Money Laundering Regulations 2017—source of funds and source of wealthSource of funds and wealth was a key focus of the SRA’s Preventing Money...
Pre-employment checks—law firms
Pre-employment checks—law firmsWhile the application form and interview process will give you some assurances as to a candidate's suitability for a...
What are the ramifications for a solicitor who does not comply with Law Society Formula B undertakings and/or did not hold their client's part of the contract at the point of exchange? If the contract later comes into dispute does an action lie with that solicitor or their firm?
When and how can I terminate my retainer?
Solicitors Regulation Authority
Solicitors Regulation AuthorityThe Solicitors Regulation authority (SRA) is the independent regulatory arm of the Law Society. It...
Risk management policy—law firms
Risk management policy—law firms1Introduction1.1Risk management is central to the regulatory regime under which we operate. [Insert name of firm] is...
Money laundering compliance officer—law firms
Money laundering compliance officer—law firmsThis Practice Note is intended for law firms that are subject to the Money Laundering, Terrorist...
Client conflicts in conveyancing or property matters—when can you act?
Client conflicts in conveyancing or property matters—when can you act?There are two types of conflict: own interest conflicts (sometimes called...
Closing 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...
Dealing with freelance solicitors
Dealing with freelance solicitorsFrom 25 November 2019, the SRA Standards and Regulations introduced a new method of practising: the freelance...
Associated legal terms
Outsourcing
Using a third party to undertake work that a law firm or in-house team would normally do for themselves and for which the firm or in-house team remain responsible.
Solicitors Regulation Authority
The Solicitors Regulation Authority (SRA) was set up by the Law Society to be its regulatory body after the Legal Services Act 2007 required the separation of all regulatory and representative activities relating to the legal professions.
SRA Practice Framework Rules 2011
Rules which are in the SRA Handbook which prescribe the types of business through which solicitors, Registered European Lawyers, Registered Foreign Lawyers and authorised bodies can practise and the services which they can provide.
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