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: Sweden's Financial Supervisory Authority (FSA) hit Klarna Bank AB with a 500m krona (US$45.7m) fine on 11 December 2024 for breaching...
The National Crime Agency (NCA) has taken part in Operation Power OFF, a Europol-coordinated action across 15 countries to combat Distributed Denial...
This week's edition of Practice Compliance weekly highlights includes: the latest sanctions news, a new anti-corruption champion, analysis of the Data...
Law360, London: The head of the Serious Fraud Office (SFO) called for the UK to pay whistleblowers in economic crime cases, admitting on 10 December...
The Crown Prosecution Service (CPS) has reported that a former human rights lawyer, Phil Shiner, has been sentenced to two years imprisonment,...
Latest Practice Compliance Practice Notes
Conflicts in restructuring and insolvencyIn any insolvency situation, there are a number of parties involved that require legal advice and, in certain...
How to manage the risks of artificial intelligence in your businessThis Practice Note is intended for general private-sector commercial organisations...
Financial sanctions compliance—examples of good (and poor) practiceThe Financial Conduct Authority (FCA) has provided some examples of good practice...
Financial sanctions—offencesSanctions and Anti-Money Laundering Act 2018 (SAMLA 2018) created a UK specific framework for the implementation and...
UK sanctions regimes currently in forceThis Practice Note provides information on UK sanctions regimes currently in force, including regimes under the...
Latest Practice Compliance Precedents
Draft memo for client about disclosure and privilegeThis precedent draft memo should be read (and potentially be sent) with the relevant precedent...
Financial sanctions organisation-wide risk assessment1Introduction1.1We have performed an organisation-wide risk assessment of the areas where we are...
Guide to financial sanctions for staffWhat are sanctions?Sanctions are non-permanent international restrictions or prohibitions aimed at:•encouraging...
Financial sanctions policy1IntroductionThis financial sanctions policy sets out the procedures we have developed to comply with financial sanctions...
Sanctions breach report registerThis Precedent Sanctions breach report register is designed to help you keep a record of suspected sanction breaches...
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 non-SRA firm
This is a term which is defined in the SRA Code of Conduct [2011] for the purposes of the SRA Handbook [2011] as meaning a firm which is authorised to carry on legal activities by an approved regulator other than the SRA.
Family entertainment centre
“family entertainment centre” means premises (other than an adult gaming centre) wholly or mainly used for making gaming machines available for use, and “licensed family entertainment centre” means premises in respect of which a family entertainment centre premises licence has effect.
Introducer
Means any person, business or other entity which introduces potential clients to an authorised firm.
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