Regulation
We’re here to help you keep ahead of your regulatory obligations and minimise risk with a package of expert guidance, advice and resources.
SRA Standards and Regulations
The Solicitors Regulation Authority (SRA) Standards and Regulations came into force on 25 November 2019.
All resources
- Anti-money laundering guidance for the legal sector28 Mar 2023
- Chinese underground banking and funds from China: LSAG advisory notice08 Mar 2023
- Client funds21 Apr 2020
- Conflict of interests in conveyancing18 Jun 2020
- Consequences of not preventing economic crime: firm case studies22 Apr 2024
- Consequences of not preventing economic crime: solicitor case studies11 Apr 2024
- Cyber insurance for law firms03 Aug 2022
- EU mobility after Brexit: practice rights and rules in EU 27 member states28 Jul 2021
- Engaging clients21 Apr 2020
- GDPR for solicitors01 Aug 2019
- Gender pay gap reporting: setting the standard for the profession26 Jan 2024
- Internal money laundering reporting12 Jan 2020
- Investigation and enforcement: what to expect from the SRA and SDT19 Mar 2024
- Professional enablers16 Sep 2024
- Register of overseas entities: what solicitors should know about verification29 Jul 2022
- Regulation and compliance in property practice18 Jun 2020
- Run-off cover31 Jan 2024
- SRA Standards and Regulations25 Nov 2019
- Solicitors Indemnity Fund and post six-year run-off cover03 Oct 2023
- Source of funds07 Mar 2022
- Tipping off and prejudicing an investigation27 Feb 2023
- Top-up cover (excess layer) for professional indemnity insurance15 Sep 2023
- Travelling to the EU on business after Brexit26 Jul 2024
- UK economic crime regime30 Apr 2024
- UK sanctions regime19 Sep 2024
- Who is regulated under the Money Laundering Regulations 2017?17 Jun 2024
- Alternative business structures09 May 2023
- Bribery Act 201022 Sep 2022
- Client information requirements08 Sep 2021
- Compliance officers16 Sep 2024
- Conflict of interests11 Sep 2024
- Consumer Contracts Regulations 201315 Sep 2023
- Entity-based regulation27 Jun 2023
- Freelance solicitors25 Sep 2024
- Handling complaints30 Oct 2024
- Implementing whistleblowing arrangements23 Feb 2024
- In-house practice: regulatory requirements01 Sep 2022
- Information obligations for service providers15 Sep 2023
- Information on letterheads, emails and websites31 Jul 2023
- Outsourcing07 Sep 2023
- Professional indemnity insurance15 Sep 2023
- Professional undertakings15 Oct 2024
- Protection for client accounts21 Dec 2023
- Providing services and taking on roles outside your practice as a solicitor31 Aug 2021
- Raising concerns and whistleblowing: guidance for staff23 Feb 2024
- Responding to a financial crime investigation24 Jan 2022
- SRA powers of investigation30 Oct 2024
- Setting up a practice: regulatory requirements23 May 2023
- Social media15 Oct 2024
- Solicitors offering legal services to the public from unregulated entities13 Jul 2021
- What to do when a complaint goes to the Legal Ombudsman30 Oct 2024
- What to do when the law firm you work for is closing down02 Sep 2024
- Who owns the file?26 Jul 2022
- A client continues to contact us about a complaint we handled. What should we do?24 Oct 2024
- A client has not paid my bill. Can I issue cost recovery proceedings if they make a complaint?10 May 2023
- As my firm’s COLP, how can I protect myself from personal liability?09 Nov 2020
- Can I administer a statutory declaration if I’m not currently working?22 Jul 2024
- Can I advise on matters after my PII expires?11 Jan 2024
- Can I ask a client about a register discrepancy without tipping off?08 Apr 2024
- Can I charge for due diligence checks?25 Nov 2021
- Can I exercise a lien over a bankrupt client's papers?11 Jan 2024
- Can I see a copy of a complaint made to the Legal Ombudsman about my firm?22 Sep 2023
- Can I tell a client I made a suspicious activity report?30 Sep 2024
- Can a club refer a complaint to the Legal Ombudsman?27 Oct 2021
- Can a successor firm be liable for an original firm’s inadequate professional service?16 Jan 2020
- Can freelance solicitors offer immigration services?13 May 2024
- Can someone become a solicitor if they have a criminal record?29 Aug 2024
- Can the Legal Ombudsman re-assess a bill that’s been assessed by a court?15 Feb 2021
- Do I need professional indemnity insurance if my employer is not SRA regulated?22 Sep 2023
- Do we need to appoint an MLCO if we have an MLRO?22 Sep 2023
- Do we need to carry out a DBS check on a newly hired solicitor?22 Sep 2023
- Does my firm have to pay the economic crime levy?07 May 2024
- How do I deal with a client complaint about a barrister?09 Jul 2020
- How do I verify the identity of a client without standard documentation?01 Dec 2022
- I found an error in a client file. What should I do?27 Sep 2023
- I received files in error meant for the other side’s client. What should I do?02 Sep 2024
- I undertook to pay the other side’s costs, but the matter didn’t complete. Do I have to pay the bill issued?10 May 2023
- I'm a COLP. What should I do if there's a compliance breach at my firm?18 Jan 2023
- Is an MLRO automatically a BOOM?18 Mar 2024
- Is cyber insurance covered by professional indemnity insurance?19 Jul 2023
- Is outlining our reporting obligations in client care letters ‘tipping off’?26 Feb 2021
- Is there a de minimis amount for sanctions?17 Jun 2024
- I’m holding £1 million in my client account. How can I make sure the funds are protected?22 Sep 2023
- I’m newly qualified. Can I become a freelance solicitor?22 Sep 2023
- I’m setting up a new firm. What should we include in our client care letters?22 Sep 2023
- I’ve been professionally embarrassed. Can I withdraw from a Crown Court case?08 Jul 2021
- My client is a member of a UK political party. Do they count as a politically exposed person?22 Sep 2023
- My client is a possible sanctions match. What should I do?06 May 2020
- Should I report a minor AML breach to the SRA?25 Apr 2024
- Should I send original documents to the Legal Ombudsman?10 Nov 2023
- The other side won’t explain how the costs my client must pay are calculated. What can I do?22 Sep 2023
- What do we need to include in our policy on handling cash?22 Sep 2023
- What does 'adequate and appropriate' insurance mean for a freelance solicitor?06 Jun 2023
- What information can a bank request about our client account?06 Mar 2024
- What is the effect of a section 44B notice from the SRA?22 Sep 2023
- What pre-interview client checks should we make?10 Jun 2021
- What should I do if I receive a complaint from someone who is not a client?26 Jan 2024
- When acting on multiple retainers, can I rely on client care information I've already provided?22 Sep 2023
- When do I have to report a data breach?29 Apr 2024
- When should I carry out a sanctions risk assessment?21 Sep 2021
- Where can I get help with the NCA SAR portal?20 May 2024
- Anti-corruption training21 Mar 2023
- Anti-money laundering and terrorist financing glossary10 Mar 2021
- Economic crime and regulatory compliance directory24 Jun 2024
- Financial crime20 Jan 2020
- Price and service transparency - how you can comply11 May 2021
- UKFIU sanitised feedback on suspicious activity reports23 Sep 2021
- Adequate consideration and proceeds of crime26 Sep 2024
- Artificial intelligence (AI) strategy16 Sep 2024
- Axiom Ince and the Solicitors Compensation Fund07 Dec 2023
- CMA review of the legal services market study18 Dec 2020
- Changes to the Legal Ombudsman Scheme Rules30 Apr 2023
- Digital ID trust framework14 Mar 2022
- Economic Crime Act: what does it mean for law firms?27 Jun 2023
- Economic crime plan11 Apr 2024
- Empowering consumers in the legal services market19 Apr 2022
- HM Treasury review of the Money Laundering Regulations 201707 Jul 2022
- Home Office suspended funds scheme: share your views01 Aug 2023
- Law Commission review of the suspicious activity report regime29 Feb 2024
- Legal Services Board ongoing competence call for evidence11 Feb 2021
- Prosecution of ‘failure to disclose’ offences28 Jul 2021
- Quality indicators in the legal services market22 Apr 2021
- Regulation of CILEX members02 Jul 2024
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