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 European Data Protection Board (EDPB) has announced the creation of a task force on AI enforcement, expanding the scope of its existing ChatGPT...
The European Data Protection Board (EDPB) has adopted a statement on age assurance, outlining ten principles for the compliant processing of personal...
The Office of Financial Sanctions Implementation (OFSI) has updated its list of expired General Licences. The most recent addition is General Licence...
The European Data Protection Board (EDPB) has adopted recommendations on the 2027 World Anti-Doping Agency (WADA) World Anti-Doping Code. The EDPB's...
The Foreign, Commonwealth & Development Office (FCDO) has announced a new round of sanctions targeting individuals and entities closely associated...
Latest Practice Compliance Practice Notes
Data subject rights—automated decision making, including profilingAssimilated Regulation (EU) 2016/679 UK General Data Protection Regulation (UK GDPR)...
Data subject rights—objection to processingThis document reflects the UK GDPR regime. References and links to the GDPR refer to the UK GDPR...
Data subject rights—rectification, erasure and restriction of processingThis document reflects the UK GDPR regime. References and links to the GDPR...
Data sharing—practical complianceThis Practice Note explains the practical issues commercial organisations should consider when preparing to share or...
Data subject rights—data portabilityThis document reflects the UK GDPR regime. References and links to the GDPR refer to the UK GDPR (Assimilated...
Latest Practice Compliance Precedents
Fraud risk management—staff survey on effectiveness of controlsThis survey is designed to measure knowledge and understanding of our fraud risk...
Letter notifying client of new privacy policyThe [law governing the ]way in which we are required to treat your personal data [has changed OR is...
Alternative wording for cookies notice1Wording for website terms and conditions—Cookies and other information-gathering technologies1.1We use...
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...
Personal data sharing schedule—controller to controller—pro-disclosing partyDefined terms: This precedent schedule uses the additional defined terms...
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
Authorised body
An Authorised body is a legal services body which has been authorised by the SRA under its Authorisation Rules to practise as a licensed body or a recognised body.
Offshoring
The relocation of work that a law firm or in-house team would normally perform to another country.
Professional indemnity
All regulated entities must have compulsory professional indemnity insurance.
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