Free SRA compliance resources

All of the resources which you’ll find on this page are available free of charge but some of the material is only available to subscribers of our free compliance updates (subscription is currently free).

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SRA template policies and procedures

  • Sample SRA Policy: New CPD Regime (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 (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 Compliance checklists

  • SRA reporting checklist (PDF)

    In recent years the SRA has vastly expanded the obligations which it imposes upon lawyers to report certain events to them.  Take a look at our checklist – you will be surprised at the number of obligations imposed on all lawyers and firms and how far these reach.  Our template Risk and Compliance Manual includes a staff policy which places an obligation upon staff to report relevant events to the firm’s COLP as well as countless other policies and procedures.  It is available from our online shop for just £55.00 plus VAT.  This SRA reporting checklist is an extract from our SRA Handbook checklist for COLPs and both the checklist and template Risk and Compliance Manual can be purchased together at a discounted rate of £65.00 plus VAT.

  • Staff training guide (PDF)

    This guide sets out the SRA training and other training (such as money laundering training, accounts training and data protection training) most firms will need to provide to fee earners (on induction as well as periodically) in order to meet the SRA’s requirements.  It includes guidance on why firms should consider training in each area. We offer training in all of these areas and our most popular courses are our SRA Conduct Masterclass and our SRA Accounts Rules sessions. Contact us for a free consultation on your firm’s training needs.

  • Client care checklist (PDF)

    Ever wonder if your client care letter has stayed up to date with the regulatory changes?  Take a look at our free client care letter checklist and follow the guidance if you spot any gaps in your current approach. This checklist is an extract from our SRA Handbook checklist for COLPs which you can purchase for just £25.00 plus VAT from our online shop.  In the shop you’ll also find an online training session on client care, complaints and risk management for just £29.00 for an individual user and up to 100 users for just £79.00.

  • Firm management checklist (PDF)

    A checklist on the SRA’s requirements in chapter 7 of the SRA Code of Conduct on business management together with some useful links to help you on your way to complying with the broad range of requirements set out in this chapter.  This checklist is an extract from our SRA Handbook checklist for COLPs which you can purchase from our online shop.

  • Not forgetting… compliance checklist (PDF)

    Our tribute to those often forgotten ‘conduct-like’ requirements which sit outside of the SRA’s Code of Conduct in other parts of the Handbook, namely the SRA Authorisation Rules and Practice Framework Rules.  Not all of the provisions of those rules will be relevant to most firms most of the time s owe hope that this draws out some key and worthwhile points to consider, as ever together with some practical things to think about. This checklist is an extract from our SRA Handbook checklist for COLPs which you can purchase from our online shop.

SRA articles, blog posts & e-books

  • COLP COFA Guide July 2014 (PDF) on the SRA’s COLP and COFA requirements

    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

    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 COFA

    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

    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.

  • Blog post: Are you litigating ‘ethically’?

    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.

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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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