Compliance breaches

Compliance breaches

This subtopic focuses on reporting requirements in the SRA Codes of Conduct and the SRA’s enforcement strategy.

For more guidance on the SRA’s regulatory regime, see Practice Notes:

•
Breach reporting—law firms
•
Compliance officers and compliance breaches—law firms—checklist

When and what must you report to the SRA

The SRA’s threshold for reporting is expressed as ‘serious breach’—see Practice Note: Breach reporting—law firms—When and what must you report to the SRA.

What is a serious breach?

The SRA has not defined the term ‘serious breach’ in the Codes of Conduct, stating only that a failure or breach may be serious

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