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
GCHQ鈥檚 National Cyber Security Centre (NCSC) has announced the publication of joint guidance on considering payment in ransomware incidents from the...
The Office of Financial Sanctions Implementation (OFSI) has updated its UK financial sanctions general guidance. Section 6 of the guidance, which...
The Information Commissioner鈥檚 Office (ICO) has released a report containing data about the prevalence of data breaches. The report has practical...
The Foreign, Commonwealth and Development Office (FCDO) has published a joint statement from the UK Department of State and UK FCDO following the...
The Law Society of England and Wales has made recommendations in response to the Treasury Select Committee鈥檚 inquiry on Russian Financial Sanctions....
Latest Practice Compliance Practice Notes
Firmwide money laundering, terrorist financing and proliferation financing risk assessment鈥攍aw firms鈥攃hecklistThis Firmwide money laundering,...
Practice Compliance forecast as at 16 April 2024This Practice Note is our monthly update of key actual and proposed regulatory or legislative changes...
New and updated content 2024鈥擯ractice ComplianceThis Practice Note tells you, on a month-by-month basis, whether we have made substantive amendments...
New and updated content 2023鈥擯ractice Compliance [Archived]ARCHIVED: This Practice Note has been archived and is not maintained. For more information,...
What鈥檚 new and what鈥檚 changed in 2022鈥擯ractice Compliance [Archived]ARCHIVED: This Practice Note has been archived and is not maintained. For more...
Latest Practice Compliance Precedents
Fraud risk management training recordPlease click for an Excel version of this register.Forthcoming change: The Economic Crime and Corporate...
Policy鈥攇enerative AI鈥攕hort form1Introduction1.1[Insert organisation鈥檚 name] recognises the potential of artificial intelligence (AI) to transform the...
Data protection officer鈥擠PO鈥攋ob description and role profile1DPO detailsName of organisation[Insert name of organisation]Name of DPO[Insert...
Memo to the board making recommendations in relation to appointing a DPODate: [insert date]IntroductionOne of the key requirements of the UK General...
Website privacy policyPolicy version: [insert date of this policy][ 鈥 for previous versions of this policy see here][Insert website] (our website) is...
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鈥攖he Registered Foreign Lawyer (RFL) regime
Working with foreign lawyers鈥攖he 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:鈥hat powers the court has to enforce undertakings鈥hen it is likely to exercise those...
Compliance officer for legal practice鈥擟OLP鈥攖itle and duties 2011 [Archived]
Compliance officer for legal practice鈥擟OLP鈥攖itle and duties 2011 [Archived]The compliance officer for legal practice (COLP) sits at the heart of the...
Conveyancing Quality Scheme (CQS) practice management standards鈥擯recedents content map
Conveyancing Quality Scheme (CQS) practice management standards鈥擯recedents 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鈥攕ource of funds and source of wealth
Money Laundering Regulations 2017鈥攕ource of funds and source of wealthSource of funds and wealth was a key focus of the SRA鈥檚 Preventing Money...
Pre-employment checks鈥攍aw firms
Pre-employment checks鈥攍aw 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鈥攍aw firms
Risk management policy鈥攍aw firms1Introduction1.1Risk management is central to the regulatory regime under which we operate. [Insert name of firm] is...
Money laundering compliance officer鈥攍aw firms
Money laundering compliance officer鈥攍aw firmsThis Practice Note is intended for law firms that are subject to the Money Laundering, Terrorist...
Client conflicts in conveyancing or property matters鈥攚hen can you act?
Client conflicts in conveyancing or property matters鈥攚hen can you act?There are two types of conflict: own interest conflicts (sometimes called...
Closing a client matter鈥攍aw firms
Closing a client matter鈥攍aw 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
Client
The person(s) on whose behalf the firm is providing a service.
Family entertainment centre
鈥渇amily entertainment centre鈥 means premises (other than an adult gaming centre) wholly or mainly used for making gaming machines available for use, and 鈥渓icensed family entertainment centre鈥 means premises in respect of which a family entertainment centre premises licence has effect.
Roll of solicitors
The record of all solicitors who are regulated by the Solicitors Regulation Authority.
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