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.
![Scales of justice](https://prdsitecore93.azureedge.net/-/media/images/homepage/sra-regulations-scales.jpg?rev=e9e122b4530d427e813c2176abe58493&h=1243&w=2412&la=en&hash=063FBBDFDC41C4FA05E4FCAEA8C14929)
SRA Standards and Regulations
The Solicitors Regulation Authority (SRA) Standards and Regulations came into force on 25 November 2019.
![Scales of justice](https://prdsitecore93.azureedge.net/-/media/images/homepage/sra-regulations-scales.jpg?rev=e9e122b4530d427e813c2176abe58493&h=1243&w=2412&la=en&hash=063FBBDFDC41C4FA05E4FCAEA8C14929)
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 enablers15 May 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 regime21 May 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 officers28 Jul 2023
- Conflict of interests27 Jul 2023
- Consumer Contracts Regulations 201315 Sep 2023
- Entity-based regulation27 Jun 2023
- Freelance solicitors14 Nov 2023
- Handling complaints07 Mar 2023
- 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 undertakings07 Sep 2022
- 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 investigation03 Jul 2023
- Setting up a practice: regulatory requirements23 May 2023
- Solicitors offering legal services to the public from unregulated entities13 Jul 2021
- What to do when a complaint goes to the Legal Ombudsman21 Mar 2023
- Who owns the file?26 Jul 2022
- Who owns the file?26 Jul 2022
- 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 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 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 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
- 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 and Corporate Transparency Act27 Feb 2024
- 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
The Law Society is the independent professional body for solicitors. Our vision is to promote, protect and support solicitors, the rule of law and justice in England and Wales.
Maximise your membership
My LS gives you access to the latest news, events, books and resources to help you excel within your practice.
Sections
Risk and Compliance Section
Our Risk and Compliance Section is a community for people who manage compliance. We provide support and guidance through our magazine, webinars, events, podcasts and features.
Helplines
Practice Advice Service
Our Practice Advice Service offers free and confidential support on legal practice and procedure.