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
Law360, London: England's legal oversight regulator said 13 October 2025 that it is reviewing guidance issued by regulators and representative bodies...
Law360, Expert analysis: On 2 September 2025, HM Treasury (HMT) published draft regulations that would amend the UK Money Laundering Regulations, or...
The Foreign, Commonwealth & Development Office (FCDO) has published guidance detailing the consolidation of UK sanctions designations into a single...
Commercial analysis: In today’s hyperconnected world, cyber risk is no longer a peripheral concern—it’s a central business issue for the vast majority...
This week's edition of Practice Compliance weekly highlights includes updated government guidance on AML information sharing under the Economic Crime...
Latest Practice Compliance Practice Notes
What’s new and what’s changed in 2020—Practice Compliance [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.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...
Data protection, privacy and confidential information case law trackerThis Practice Note tracks noteworthy High Court, Court of Appeal and Supreme...
Use of confidential information in civil proceedingsThis Practice Note looks at the status and use of confidential information in civil proceedings...
Undertakings and the SRAWhat is an undertaking?An undertaking is:•a statement, given orally or in writing, whether or not it includes the word...
Understanding the financial sanctions regimeThis Practice Note explains how the sanctions regime operates in the UK.The financial sanctions regime...
Latest Practice Compliance Precedents
Data protection impact assessment—DPIA—surveillance cameras1Project summaryProject informationDetailsProject name[Insert name]Project owner[Insert...
Data protection impact assessment—DPIA1Project overviewProject summary[Summarise the project, eg new IT system for storing and accessing personal...
Data protection risk assessment—short form1Background informationAssessment for[state whether the assessment relates to the whole organisation or a...
Data protection impact assessment—DPIA—short form1Identify the need for a DPIAExplain broadly what the project aims to achieve and what type of...
Passwords—quick guide to getting it rightThis quick guide can help you to create a strong password (that you won’t forget) and maintain the best...
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
Lawyer
An individual who is qualified and authorised to be a lawyer.
Legal services consumer panel
This Panel provides independent advice to the Legal Services Board about the interests of users of legal services.
SRA Practicing Regulations 2011
These Rules are in the SRA Handbook and regulate applications for practising certificates by solicitors and registration by European lawyers and foreign lawyers.
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