Welcome to communities.lawsociety.org.uk. This site uses cookies. Read our policy.

  • Skip to main content
  • Skip to navigation
Mast navigation
  • Sign in
  • Register now
Search our site
Menu
  • Quick links:
  • Competition
  • Dispute Resolution
  • Leadership and Management
  • Private Client Solicitors
  • Property
  • Risk and Compliance
Risk and Compliance Section
Renew Join our section
Close menu
  • Home
  • News
  • Features
    • Back to parent navigation item
    • Features
    • Anti-money laundering
    • Brexit
    • Client care and complaints handling
    • Cybersecurity
    • Data protection
    • Price transparency
    • Professional ethics
    • Risk and compliance
    • SRA Accounts Rules
    • SRA Standards and Regulations
  • Events
    • Back to parent navigation item
    • Events
    • Webinars
  • Magazine
    • Back to parent navigation item
    • Magazine
    • April 2025
    • January 2025
    • October 2024
    • July 2024
    • April 2024
    • January 2024
    • October 2023
    • July 2023
    • April 2023
    • January 2023
    • October 2022
    • July 2022
    • April 2022
    • January 2022
    • October 2021
    • July 2021
    • April 2021
    • January 2021
  • Podcasts
  • About us
    • Back to parent navigation item
    • About us
    • Contact us
  • Join the section
    • Back to parent navigation item
    • Join the section
    • Renew your membership
    • Terms and conditions
    • Quick links
    • Competition
    • Dispute Resolution
    • Leadership and Management
    • Private Client Solicitors
    • Property
    • Risk and Compliance
  • Home
  • News
  • Features
      • Anti-money laundering
      • Brexit
      • Client care and complaints handling
      • Cybersecurity
      • Data protection
      • Price transparency
      • Professional ethics
      • Risk and compliance
      • SRA Accounts Rules
      • SRA Standards and Regulations
    • cyber security Twitter 1024 x 512 pixels
      FAQs: Navigating the risks of cloud computing
    • AI612x612
      Compliance and the use of AI in law firmsPartner content Natalie Cooksey and Karim Nasser
    • Spring showers
      Spring renewal – key findingsPartner content Arjun Rohilla and Dan Blundell
  • Events
      • Webinars
    • iStock-1368027007
      Risk update: key issues on the regulatory radar (OnDemand)
    • adeolu-eletu-E7RLgUjjazc-unsplash (1)
      Webinar: Small firms – top tips for financial survival (OnDemand)
    • j-kelly-brito-PeUJyoylfe4-unsplash
      Webinar: Compliance forum for COLPs/COFas – SRA standards and regulations
  • Magazine
      • April 2025
      • January 2025
      • October 2024
      • July 2024
      • April 2024
      • January 2024
      • October 2023
      • July 2023
      • April 2023
      • January 2023
      • October 2022
      • July 2022
      • April 2022
      • January 2022
      • October 2021
      • July 2021
      • April 2021
      • January 2021
    • money-graphic-600x400
      On the money
    • Lone man standing on iceberg
      Owning up to mistakes
  • Podcasts
  • About us
      • Contact us
    • phone
      Contact the Risk and Compliance Section
    • phone
      Contact the Risk and Compliance Section
  • Join the section
      • Renew your membership
      • Terms and conditions
    • book review
      Law Society Publishing discount
  • More from navigation items

SRA Standards and Regulations features

Paul Bennett headshot

What a sham

2025-04-14T08:53:00+01:00By Paul Bennett

Paul Bennett examines the threat posed by sham litigation within the legal sector, and outlines what lawyers can do to protect themselves and their firms

money-graphic-600x400

On the money

2025-01-22T00:00:00+00:00By Sarah Charlton

Sarah Charlton comments on what the current SRA consultation on consumer protection may mean for solicitors handling client money

Julie-Norris-600x400

Raising the bar

2025-01-22T00:00:00+00:00By Julie Norris

Julie Norris outlines the authorisation of barristers employed in law firms and considers some of the compliance pitfalls that can arise

Lone man standing on iceberg

Owning up to mistakes

2025-01-22T00:00:00+00:00By Paul Bennett, Alexis Hearnden and Jonathon Bray

Paul Bennett, Jonathon Bray and Alexis Hearnden discuss the importance of owning up to mistakes

DuncanFinlayson-600x400

Beast of burden

2024-10-14T12:15:00+01:00By Duncan Finlyson

Is the regulatory burden for solicitors increasing or does it just seem that way? Duncan Finlyson considers recent developments

Investigation-600x400

Under investigation

2024-10-14T10:56:00+01:00By Susanna Heley

Susanna Heley outlines what to expect when the SRA decides to investigate or take disciplinary action

Competence-graphic-600x400

A question of competence

2024-10-11T12:14:00+01:00By Melissa Hardee

The SRA recently published its second annual assessment of continuing competence for 2024. Melissa Hardee considers the findings

Tracey Calvert headshot

Under scrutiny

2024-07-11T00:00:00+01:00By Tracey Calvert

Tracey Calvert revisits the compliance obligations around undertakings

Challenging behaviour graphic (thumbnail)

Challenging behaviour

2024-07-11T00:00:00+01:00By Zoë Allen-Robinson

Zoë Allen-Robinson looks at the regulator’s requirement for managers in law firms to challenge unfair behaviour

DUIiStock-1852854485

Are DUIs a regulatory matter?

2024-05-21T11:00:00+01:00By Jonathon Bray

In recent actions by the Solicitors Regulation Authority (SRA), drink-driving offences have become significantly more costly for solicitors, serving as a stark reminder of the regulator’s expected standards around personal conduct

iStock-468153365 COLP

How to be an effective COLP

2024-03-12T13:22:00+00:00By Jonathon Bray

As compliance frameworks become more complex, and regulators get new fining powers, the compliance officer for legal practice (COLP) is an increasingly pivotal role. Jonathon Bray offers his top tips on how to be effective in this position

SDT-bright-sign

Disciplinary case update

2023-12-18T09:54:00+00:00By Nigel West and

Nigel West considers two Solicitors Disciplinary Tribunal cases – one regarding a failure to act in the best interests of a client and another on fines for sexual harassment

melissa-hardee-600x400

Standard bearers

2023-10-05T11:22:00+01:00By Melissa Hardee

The challenge for any profession is to ensure that its members not only meet the requisite standard to be admitted into the profession, but also that they maintain those standards. This is partly from self-interest – the pride of a profession of the standard which distinguishes it – but, for ...

Discipline-600x400

A fair hearing?

2023-10-05T09:50:00+01:00By Susanna Heley and Nigel West

Susanna Heley and Nigel West consider the SRA’s recent guidance on its approach to fines and decision-making in disciplinary cases, and outline some of the practical issues this raises

Regulation graphic-600x400

Regulating behaviour

2023-08-07T08:40:00+01:00By Jessica Clay and Lucinda Soon

Jessica Clay and Lucinda Soon summarise how the SRA can regulate solicitors’ behaviour in and out of the workplace, and analyse in what circumstances they will choose to take action

Tracey Calvert

In-house risk

2023-08-07T08:11:00+01:00By Tracey Calvert

Tracey Calvert revisits the regulatory obligations for in-house lawyers

nigel-west-600x400

Open justice

2023-08-03T14:26:00+01:00By Nigel West

Nigel West considers the case of SRA v Bretherton regarding open justice

Lady Justice iStock-1173368882

Fair is fair: understanding the SRA ‘fair treatment’ rules

2023-06-26T13:20:00+01:00By Ed Livingstone and Joseph Cannon

The Solicitors Regulation Authority (SRA) has introduced a new set of “fair treatment” rules into its Codes of Conduct. Ed Livingstone and Joe Cannon of Fox Williams outline what the changes mean and discuss the key steps all law firms should consider in response to the changes

Fine-600x400

A fine time

2023-05-11T13:40:00+01:00By Robert Forman

 

Confidence-600x400

In confidence

2023-05-11T13:26:00+01:00By Bronwen Still

Bronwen Still provides an overview of the regulatory requirements around confidentiality, and outlines some of the more common, and difficult, situations facing firms

Key member benefit - Legal Compliance magazine

legal compliance magazine October 2020

Your membership includes a subscription to the quarterly magazine, Legal Compliance, available to you both online and in print.

Benefits of membership

Stay up to date with the latest developments and navigate, meet and demonstrate compliance.

Risk and Compliance Section members have access to exclusive online content including magazines, resources, newsletters, networking events, training sessions and webinars.

Become a member today

Site powered by Webvision Cloud