Professional Regulation

We advise law firms on how to comply with the regulations which govern them, including:

• Compliance with the SRA Standards & Regulations 2019.  The partners are the authors of the Compliance Calendar Toolkit for Law Firms.
• Gap analysis (showing where the gaps are in your compliance currently) including file audit, and the materials you need to fill those gaps (e.g. office manual).
• the SRA Handbook and other statutory requirements for law firms, ABSs and in-house legal teams, including Anti-Money Laundering, Anti-Bribery & Corruption, and Data Protection & Privacy.
• SRA Accounts Rules issues.
• Client engagement issues, including terms of business and limitation of liability.
• Costs and funding issues.
  Referral arrangements and buying-in work, compliance with the Legal Aid, Sentencing and Punishment of Offenders Act 2012 (LASPO) and commissions.
• Compliance with rules on referral arrangements and buying-in work, and commissions.
• Obligations on COLPs and COFA, see further Legal advice: GC, MLRO, COLP/COFA.
• Practice Requirements including Legal Services Act 2007 structuring and compliance, ABSs and the requirements for international practices and in-house legal teams.
• Professional Conduct issues, including Disciplinary Proceedings and RSA’s.