Resources

All of the resources on this page are available free of charge but some of our material is exclusively available to subscribers of our free compliance updates. Register for a free account.

Our 8 top tips for setting up a new law firm

If you want to set up your own solicitor’s firm or alternative business structure (ABS) then you will need to meet certain criteria for SRA authorisation. Work through our 8 top tips for setting up a law firm before you commit yourself.

COLP & COFA Training and other webinars (for subscribers to our free updates only)

Training on the SRA’s COLP and COFA requirements

A free 45-minute training session on the key COLP and COFA requirements. You can take a look at a large section of the first video of this course below:

Register for a free account to access our full SRA COLP and COFA training course among other free training courses (log in if you are already registered)

SRA template policies and procedures

Sample SRA Policy: New CPD Regime

Download sample CPD Regime policy (PDF)
This free extract from our template manual has been designed with the post November 2016 CPD regime in mind. The new regime involves some big changes for law firms and their team.  This policy suggests a starting point for a firm’s new CPD policy which includes some guidance to staff.  It is an extract from our template Risk and Compliance Manual which is available from our online shop for just £55.00 plus VAT and includes countless template SRA compliance policies and procedures.

Sample SRA Template: bogus law firms

Download sample SRA Template: bogus law firms (PDF)
Fraud is costing law firms and indemnity insurers millions and millions.  The SRA has published clear warnings to the profession setting out what firms should be doing to protect themselves.  This template seeks to incorporate SRA guidance into the form of a policy for the firm and its staff.  You can purchase our full suite of SRA templates from our online shop.  Please do also contact us for a free consultation if you would like a refresher training session to update staff on current compliance hot topics such as this.

SRA articles, blog posts & e-books

COLP COFA Guide July 2014 on the SRA’s COLP and COFA requirements

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An in-depth look at the SRA’s COLP and COFA requirements is provided in this short e-book on the subject.  The focus of this publication is upon the rules which govern COLP and COFA appointment and practice.  If you would like more help with implementing or reviewing SRA compliance systems we offer free SRA compliance consultations (just contact us) and have a range of great value templates and training available from our online shop.

Free compliance resources

Go to free compliance resources

Did you know that there are already a wealth of free compliance resources out there to help you along your way? This article is a great introduction to how you can access rules, guides, training, telephone advice and more without spending a penny.

Compliance is not just for the COLP and COF

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Ever feel a little lonely banging on about compliance in your business? Well, you shouldn’t. And this article explains why. It sets the record straight on some key points about the compliance responsibilities of all members of staff and makes clear the potential consequences of getting it wrong. It’s been drafted as an information sheet you can share with your colleagues.

5 Top tips for using the SRA Handbook

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The SRA Handbook is not so new now but many users still get confused by the language and layout adopted by the SRA when this new collection of rules and regulations was published in 2012.  In this article we set out some top tips on how to find your way around the rule book swiftly and effectively.

Are you litigating ‘ethically’?

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The SRA has published a report which echoes earlier warnings that litigation can be ‘improper’ or ‘abusive’ if legal proceedings are issued or threatened to “gain money unethically by exploiting a client or third party’s lack of knowledge or resources”.  This blog post considers what these warnings mean in practice for litigators.

Shining a light on ‘shadow clients’ and professional independence

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In this blog post we look at recent SRA warnings and research on the ever present risks and pressures to a lawyer’s ability to satisfy professional duties independent of any other interests.  It remains an SRA priority risk area and should be on the minds of every lawyer.

 

Important information about using these materials

The copyright in this material belongs to the Compliance Office Ltd, a limited company registered in England and Wales. Our company number is 09133668. Our registered office is Offices A13-A14 Champions Business Park, Arrowe Brook Road. Upton, Wirral, CH49 0AB. If you are a staff member of an SRA regulated law firm then you are permitted to reproduce copies of this guide for other staff members in that firm. No other permissions or licences are granted however and no part of this material may otherwise be reproduced or redistributed in any form or for any purpose. You may not distribute or commercially exploit the content and you may not transmit it or store it in any other website or similar system. The Compliance Office Ltd and its authors do not offer solicitor or legal services, are not a law firm and do not provide legal advice. This material is general in nature and is intended to assist the reader by drawing some relevant regulatory provisions to his or her attention. The material is not exhaustive and is not a substitute for considering the relevant provisions directly or for legal advice on an individual’s specific circumstances. While care is taken to ensure the complete accuracy of the information as at the date of publication, this cannot be guaranteed. The Compliance Office Ltd, its author(s) and administrators will not be liable for any loss or damage of any nature arising from the use of this material and such liability is excluded to the fullest extent permitted by law.

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