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Latest Practice Compliance News

LSB postpones SRA review into Axiom Ince

Council of the EU adopts AML package

Practice Compliance weekly highlights—30 May 2024

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—30 May 2024

Russian billionaire beats sanctions over lack of evidence

The following Corporate Crime news provides comprehensive and up to date legal information on Russian billionaire beats sanctions over lack of evidence

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...

Practice notes

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...

2nd Mar

Practice notes

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...

2nd Mar

Practice notes

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...

1st Mar

Practice notes

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...

1st Mar

Practice notes

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...

2nd Mar

In-house

Practice notes

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...

1st Mar

Q&As

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?

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...

2nd Mar

Q&As

When and how can I terminate my retainer?

When and how can I terminate my retainer?This Q&A is intended for law firms. It deals with when you can terminate your retainer. Incorrectly...

2nd Mar

Practice notes

Solicitors Regulation Authority

Solicitors Regulation AuthorityThe Solicitors Regulation authority (SRA) is the independent regulatory arm of the Law Society. It...

2nd Mar

Precedents

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...

1st Mar

Practice notes

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...

2nd Mar

Practice notes

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...

2nd Mar

Practice notes

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...

1st Mar

Practice notes

Dealing with freelance solicitors

Dealing with freelance solicitorsFrom 25 November 2019, the SRA Standards and Regulations introduced a new method of practising: the freelance...

1st Mar

Q&As

What is the ‘risk-based approach’ in relation to anti-money laundering, and what does it mean to me?

What is the ‘risk-based approach’ in relation to anti-money laundering, and what does it mean to me?The risk-based approach (RBA) is a core concept of...

2nd Mar

Precedents

Internal suspicious activity report—SAR—form

Internal suspicious activity report—SAR—formThis internal suspicious activity report (SAR) form is intended to make the process of submitting SARs to...

1st Mar

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