Law Firm Compliance

Risks and Challenges Faced in the Profession.

Each year the SRA researches and publishes in the SRA Outlook, what it considers as the main risks and challenges faced by law firms and solicitors.  It is a firm’s responsibility to ensure that all staff is cognisant of the priority risks outlined by the SRA, why they are important and what can be done to address them in order to ensure (i) ever higher standards of professional service; and (ii) easier access to the profession and its services.

To assist Law firms and Solicitors in addressing these compliance issues, we have developed a range of courses to address each specific SRA identified risk. These one-hour courses are applicable to all solicitors, as each individual is responsible for complying with the requirements of the SRA Handbook, and the managers of each firm responsible for the overall compliance of their individual firms.

Compliance Officers for Legal Practice (COLPs) and for Finance and Administration (COFAs) will find these courses of particular interest as their role is to champion the role of compliance and good risk management within their firms.  These courses may be integrated within existing processes to ensure that individuals are given sufficient information to comply with the SRA Handbook.

The topics will include:

  • Access to legal services;
  • Cybersecurity;
  • Diversity in the profession;
  • Information security;
  • Integrity and ethics;
  • Investment schemes;
  • Managing claims;
  • Money laundering;
  • Protecting client money; and
  • Standards of service.


  • Attend as many or as few topics as are applicable to you or your firm
  • Gain an understanding of how you can assist your firm in minimising the impact of these risks
  • Short, interactive, cost-effective sessions which can be accessed from any location.
  • Delivered live by practitioners with expertise in each specific risk area.
  • Designed to cover key SRA competencies

Available Compliance courses


Encouraged to participate in group exercises which develops learning and understanding. Content was extremely relevant to areas of practice.

Negotiation Skills course, February 2015