25 November 2019
Understand your obligations under the SRA Accounts Rules to keep accurate accounting records relating to the receipt and handling of client money.
16 February 2023
Questions and answers for SRA-authorised firms that receive client money in the form of fees and disbursements and want to rely on the exemption not to operate a client account.
25 November 2019
To help you understand the circumstances in which you must have a practising certificate.
25 November 2019
This checklist will help you determine if your business requires authorisation.
25 November 2019
To help you understand key changes introduced by the Insurance Distribution Directive (IDD).
25 November 2019
This warning notice sets out our concerns about is those we regulate acting in claims for mis-sold payment protection insurance (PPI).
25 November 2019
This Warning Notice reminds you of the warning signs of suspicious transactions.
25 November 2019
This warning notice explains the serious risks posed to the public and the profession by criminals who set up bogus law firms or branch offices of genuine law firms.
1 March 2023
Case studies to be read in conjunction with the warning notice on improper use of client account as a banking facility.
25 November 2019
Case studies to be read in conjunction with the Regulation of consumer credit activities toolkit.
25 November 2019
These case studies illustrate the importance of having a consistent approach to compliance with the money laundering regulations throughout your entire firm.
25 November 2019
The following case illustrates how solicitors can facilitate criminal activities by failing to maintain their independence.
25 November 2019
As an employer you have certain duties under the Solicitors Act. Failure to comply with them can have serious consequences as the solicitor in this case study discovered.
25 November 2019
This case study illustrates the serious consequences of failing to advise on the need to obtain independent advice.
25 November 2019
To help you understand key areas of the SRA’s Standards and Regulations most relevant to working in the Not for profit sector.
1 September 2022
To help explain Principle 5 and the requirement to act with integrity.
25 November 2019
Understand when the exemption to the requirement to obtain an accountant’s report will apply.
25 November 2019
When and how to use a third party managed account as an alternative to the use of a client account.
25 November 2019
This guidance explains the potential impact on Exempt European lawyers and law firms of a ‘no deal’ EU exit and future options.
23 March 2023
The requirements under the Transparency Rules to publish information concerning your complaints procedure.
