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
The Office of Financial Sanctions Implementation (OFSI) has released its annual review 2023-2024, reporting that £25bn of Russian assets have been...
This week's edition of Practice Compliance weekly highlights includes: our new Practice Compliance forecast, the latest sanctions news, publication of...
The Serious Fraud Office (SFO), Parquet National Financier (PNF) and Office of the Attorney General of Switzerland (OAG) announced the formation of an...
The Office of Financial Sanctions Implementation (OFSI) has issued a £465,000 penalty to Herbert Smith Freehills CIS LLP Moscow (HSF Moscow) for...
The Export Control Joint Unit (ECJU) has issued a Notice to Exporters 2025/07, announcing updates to the Open General Licence for AUKUS Nations. The...
Latest Practice Compliance Practice Notes
How to process personal data lawfullyAn organisation cannot simply process personal data because it wishes to do so. It can only process personal data...
Diversity monitoring and data protectionThis Practice Note it is intended for commercial organisations in the UK and is not sector-specific. It...
Data protection and internal investigationsIncreasingly, organisations are required to conduct investigations to meet their legal obligations. Common...
How to complete a transfer impact assessment—international data transfer—EU methodologyThis Practice Note is intended for in-house lawyers and privacy...
How to complete a transfer risk assessment—international data transfer—ICO methodologyThis Practice Note is intended for in-house lawyers and privacy...
Latest Practice Compliance Precedents
UK GDPR—2022 standard contractual clauses (SCCs) for the transfer of personal data outside the UK—Addendum to 2021 EU SCCsIn briefChapter V (Transfers...
Standard contractual clauses for international transfers—2004 (set II)—controller to controller—ICO templates [Archived]ARCHIVED: This Precedent has...
UK GDPR—2022 standard contractual clauses (SCCs) for the transfer of personal data outside the UK—International Data Transfer Agreement (IDTA) In...
Standard contractual clauses for international transfers—2010—controller to processor—ICO templates [Archived]ARCHIVED: This Precedent has been...
Legitimate interests assessment—data processing1BackgroundName and position of person(s) conducting assessment [Insert name]Date of assessment[Insert...
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
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
Professional indemnity
All regulated entities must have compulsory professional indemnity insurance.
Qualifying subsidiary
a company (“the subsidiary”) is a qualifying subsidiary of another company (“the relevant company”) if the following conditions are met. The conditions are that— (a) the subsidiary is a 51% subsidiary of the relevant company, (b) no person other than the relevant company, or another of its subsidiaries, has control of the subsidiary, and (c) no arrangements are in existence by virtue of which either of the conditions in paragraphs (a) and (b) would cease to be met.
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