Compliance and Regulatory Support for Law Firms
The Infolegal Compliance Hub
The number one compliance resource for solicitors
Whether you are a sole practitioner, law firm or ABS, the Infolegal Compliance Hub is the easiest way to help make compliance within your firm as simple as possible.
From less than £60 per month*, the Infolegal Compliance hub provides you with cost-effective access to a wide range of precedents, guides, training modules and information to help ensure that you, and everyone within your firm, remains on top of regulatory requirements.
All Your SRA Compliance and Regulatory Requirements
A simple to use online service accessible from computers, laptop, tablets and phones the Infolegal Compliance Hub makes the task of complying with the SRA Code of Conduct, Money Laundering Regulations, GDPR and other regulatory requirements simple and straight forward.
A template office procedures manual to adapt to your firm and in versions for firms and sole practitioners.
From GDPR precedents to retainers letters, the Hub contains a wealth of drafts for you to adopt.
Covering most of the common areas of compliance and available to everyone within your firm.
Dealing with key regulatory topics, the factsheets and guides provide succinct explanations of many regulatory topics.
Assisting you with common regulatory tasks, these help ensure that you address all compliance issues in your firm.
Looking at key compliance topics, bulletins provide an explanation of current issues affecting your practice.
Latest Infolegal Regulatory Articles
Below you will find some of our most recent articles.
More in-depth information about many of these topics is available to subscribers on the Infolegal Compliance Hub.
Following analysis in last month’s newsletter on the revised guidance in the 2021 Legal Sector Affinity Group AML Guidance we...
Recording telephone calls is proving ever more useful to law firms – if only as a means of ensuring a...
SRA stresses need for records to be updated for those already AML regulated firms now regarded as operating as tax...
The current COVID-19/coronavirus pandemic has undoubtedly affected the lives of most people. For many one of the most dramatic changes to...
A great deal of speculation is rife about the possibility of negative interest rates and the impact that this could...
The long-promised update to the Legal Sector Affinity Group AML Guidance was published on Wednesday 20th January which, at 212...
For the vast majority of us, 2020 will be a year that we will not forget, and mostly for all...
Ever since the anti-money laundering regime was first extended to the legal profession the scope of the regime has been...
The annual report on the Legal Ombudsman service in September reported not only on those areas of legal practice where...
The Money Laundering and Terrorist Financing (Amendment) (UK Exit) Regulations 2020 have, inter alia, made changes to the Trust Registration...
The provision of tax advice by solicitors is a potential minefield unless the firm has the required skills to offer...
Non-conveyancer compliance officers may be surprised to learn that systematic errors may be being made in the completion of Stamp...
A press release from the Legal Services Consumer Panel reveals a record number of consumers shopping around but many still...
Undertakings are a fundamental part of the practice of a solicitor and their importance cannot be stated too strongly. However,...
Bronwen Still, Infolegal director and former chair of the Board of Trustees of LawCare, reflects on the changing attitudes to...
SRA makes changes to the means by which individuals and firms are to make applications such as new firms and...
The SRA has emailed solicitors' firms giving them just 14 days in which to confirm that their websites comply with...
Businesses of all kinds - solicitors’ firms included - are facing unprecedented problems in the wake of the COVID-19 outbreak,...
For many solicitors considerations as to whether they may act in certain situations will inevitably surface from time to time....
Reforming Legal Services
A 340-page report, "Reforming legal services: Regulation beyond the echo chambers", conducted by Stephen Mayson, concludes that the regulatory framework...
With many lawyers currently working from home, and with many firms reviewing whether they can implement more widespread remote working...
Most firms are experiencing unprecedented challenges in maintaining their services to clients whilst they are unable to meet with colleagues...
What should solicitors do about gathering CDD when their office is closed or the client claims to be self-isolating in...
COVID-19 and Solicitors
As the impact of COVID-19 starts to really take effect, there is clearly a high chance that solicitors’ firms all...
All firms that carry out services that are subject to the Money Laundering Regulations 2017 must ensure that new beneficial...
In a recently published consultation, the Solicitors Regulation Authority has put forward proposals to restrict eligibility to the Compensation Fund...
Financial Crime Concerns
Issues relating to financial crime continue to be high on the regulatory agenda, and in this article we look again...
The recent spate of storms as increased everyone's awareness of the danger that flooding can present to properties throughout Britain. ...
The Money Laundering and Terrorist Financing (Amendment) Regulations 2019 took effect on Friday 10th January. Although the new provisions will...
Paragraph 8.9 of the SRA Code of Conduct for Solicitors, RELs and RFLs has changed the way in which firms...
PII to Remain Unchanged
SRA announces that, following a consultation, it will not be making changes to the current rules requiring solicitors to have...
The Solicitors Regulation Authority are in the process of asking firms to certify to them by the end of January...
SRA’s announcement that it will be writing to the 7,000 firms to ask them to confirm they have a firm...
The SRA are very keen to make everyone aware that the length of the new Standards and Regulations, coming into...
The forthcoming Standards and Regulations are billed by the SRA as being shorter and simpler. It is easy to assume...
Whilst few of the forthcoming rule changes in the Standards and Regulations amount to more than just a rearrangement of...
As the commencement of the new Standards and Regulations regime approaches COLPs and COFAs, who shoulder the main responsibilities for...
One of the aims of the new Standards and Regulations was to reduce the length to the former Handbook. This...
As the November start date for the new SRA Standards and Regulations regime approaches so too does the need for...
Recently the SRA reported that a number of the firms in a thematic survey had inadequate PEP checking processes and...
Are You Transparent?
It is now over six months since the SRA introduced its Price Transparency Regulations, which came into force on 6...
SRA report on an initial exercise to survey the degree of money laundering compliance and state that of the 59...
Reporting Diversity Data
SRA requires that every two years all regulated firms collect, report and publish data about the diversity make-up of their...
Although previous articles have looked at he SRA's requirements in relation to price transparency, these have tended to focus on...
Residual Client Balances
A perennial topic for concern is that of residual client balances – a problem that can often get left on...
The recent publication by the Law Society of its Practice Note on “Non-disclosure agreements & confidentiality clauses in an employment...
New regulations from SRA will permit solicitors employed by unregulated entities to provide legal services to the public provided they...
The SRA proposal for “sole solicitors" to act outside the protections of a recognised sole practice is to come into...
SRA publishes updated Enforcement Strategy which sets out when and how the SRA will take action against a law firm...
A recent case provides a useful reminder of the importance of safeguarding confidential information unless, in accordance with Outcome 4.1...
Seen as an unwelcome burden upon firms already swamped by regulation, and due to take effect in December, the SRA...
The SRA issued a new version of its Handbook on the 1st October to address the changes that it had...
In this article we look at the provisions relating to asset freezing targets, obligations in relation to sanctions control and...
Much has been written recently about the SRA granting waivers to firms ahead of changes to the rules - but...
Lexcel 6.1 Takes Effect
The Law Society has now unveiled its latest version of its flagship Lexcel standard. Although only an interim updating version...
This article looks at three issues that arise from the SRA’s programme of de-regulation - indemnity insurance, waivers and costs...
We feature this month the familiar topic of who should bear the liability for property fraud when a vendor firm...
It now seems a long time since the SRA issued a series of consultations in 2016 and 2017 on the...
Data security is very much in the news at present - if only because of the focus that has been...
There can be little doubt that one of the major compliance issue of this year will be the implementation of...
Whose File is it Anyway?
The issue of who owns the solicitor's file and whether the client or their new representatives are entitled to demand...
In compliance terms, the main story of the year was without doubt the implementation of the revised Money Laundering Regulations...
The Criminal Finances Act introduces new powers to seize suspected criminal property even where there has been no conviction and...
In order to counter the risks of liability for this new offence law firms and other professional advisers must have...
The Law Society has now issued its revised guidance on compliance with anti-money laundering and terrorist financing requirements in the...
New powers will be made available at the end of this month to the authorities in their efforts to combat...
The SRA is reviewing the entire Handbook with the intention of making it shorter and simpler to understand and apply....
The recent decision in Hudson v SRA [2017] EWHC 1249 (CH) provides a stark reminder that the SRA must be...
Regulatory News
News and developments in the legal regulatory sector.
Conveyancing Task Force
Five professional bodies have agreed to work together to establish the Conveyancing Task Force, whose remit will be to encourage...
The ongoing competency of lawyers is again to be looked at following an announcement by the Legal Services Board (LSB)...
SRA revealed that it has disciplined three more firms for breaches of the Transparency Rules bringing the total of firms...
SRA publishes guidance intended to explain the position of European lawyers following the end of the implementation period on 31...
LSB puts forward a new strategy for the legal services sector and yet another reshaping of legal services "to better...
With less than a year to go until the first sitting of the Solicitors Qualifying Examination (SQE), the SRA has...
SRA publishes the 2020/2021 Risk Outlook which this year emphasises that all risks have been heightened because of the rapid...
Law Society welcomes government measures to tackle backlogs in the civil and family courts and tribunals services by recruiting hundreds...
Law Society of Scotland issues guidance for Scottish solicitors on publishing pricing. The guidance, which is advisory rather than compulsory,...
Law Society and the Legally Disabled Research Team based at Cardiff University research finds that working from home during the...
SQE Gets the Go Ahead
SRA announces that it has been given the go ahead by the Legal Services Board to introduced the new Solicitors...
JLD welcomes SDT decision in the case of Susan Helen Orton that her mental ill-health represented exceptional circumstances which warranted...
SRA publishes report showing that transparency of fee information and the availability of more online information about solicitors and law...
To help it better to understand the day to day realities of life in the law LawCare, the legal mental...
New research commissioned by the Legal Services Board highlights key priorities the public say should be addressed to widen access...
CMA Launches Review
CMA carrying out an assessment of the implementation and impact of the recommendations of its 2016 market study into the...
International Underwriting Association of London issues warning to solicitors, in the form of an open letter, that professional indemnity insurance...
The new Cybercrime Thematic Review from the Solicitors Regulation Authority has highlighted the need for law firms to remain extra...
SRA issue new warning notice to law firms as to the need to be vigilant when advising on investment schemes...
SRA publishes guidance on firm closures giving details of its approach and providing details of the support it can provide...
OLC Annual Report
The Office for Legal Complaints (OLC) has published its Annual Report and Accounts for 2019/20 revealing, inter alia, that the...
Information Commissioner's Office publishes 2019-2020 Annual Report dealing with a range of topical issues including how facial recognition technology is...
HM Land Registry accepts ‘witnessed electronic signatures’ - i.e. electronic signatures that enable an individual to sign legal documents, but...
Following its announcement in the 2020 Budget, the Government has now published a consultation inviting views on the principles of...
SRA agrees SIF extension
SRA announces that it is to extend by a year the use of the Solicitors Indemnity Fund (SIF) to provide...
Six Steps to Recovery
As the country gradually moves towards easing lockdown restrictions and businesses begin to open, the Information Commissioner's Office (ICO) has...
As part of its commitment to accountability and transparency, the Solicitors Regulation Authority (SRA) is for the first time consulting...
SRA announces that payments from solicitors to the Compensation Fund for the next practising year are to fall with the...
Law Society of Scotland launches a three-year action plan that aims to tackle stigma around mental health in the legal...
This year, Mental Health Awareness Week (18-24 May) has a particularly poignant meaning given the problems that many are experiencing...
Guidance has been published outlining how professionals are to deal with house moves following the Coronavirus (COVID-19) pandemic.
The Law Society of England and Wales produces a business continuity toolkit to help law firms and practitioners consider the...
The Legal Services Board publishes a new collection of articles on legal technology by 11 individuals and organisations, to highlight...
A new report published by the Legal Services Board urges those operating within the legal sector to design services capable of...
Council of the EU adopts revised conclusions on the EU list of non-cooperative jurisdictions for tax purposes. In addition to...
"Regulation and In-House Lawyers" is a work for SRA regulated lawyers working in-house for organisations which are not authorised by...
SRA Compensation Fund consultation looks at proposals that would lead to greater clarity on when grants are made, the long-term...
Research undertaken by IRN and commissioned by national firm Leigh Day has found that less than half of solicitors firms...
The Law Society of England and Wales has welcomed the news the Solicitors Regulation Authority (SRA) is to drop its...
SRA publishes SQE1's Functioning Legal Knowledge Assessment Specification containing final details as to the legal knowledge that will be tested...
Law Society warns that the legal services market will need to adapt to a more deregulated environment, stronger commercial pressures...
Law Society publishes its 2019 Manifesto in which it throws down the gauntlet to political parties campaigning towards the next...
SRA issues an updated "Compliance with the money laundering regulations - firm risk assessment" warning notice and announces plans to...
Law Society welcomes announcement that the controversial practice of releasing suspects under investigation (RUI) - an open-ended arrangement which lacks...
BSB publishes new edition of its Handbook designed to modernise the way in which it undertakes its regulatory decision-making and...
SRA/YouGov research finds that many solicitors are not making reasonable adjustments for those with a disability and that early identification...
CLC publishes results of its 2019 Annual Regulatory Return showing high levels of business confidence amongst those whom it regulates...
As the date for implementation of the new Standards and Regulations draws ever closer, firms who have not yet done...
A new report published by the Law Society of England and Wales puts forward the view that technology could be...
SRA advocacy proposals
SRA publishes consultation on its proposals for ensuring high standards of advocacy from solicitors and seeking views as to proposed changes...
Infolegal publishes three new professional regulatory compliance guides covering the forthcoming SRA Standards and Regulations, Data Protection and GDPR and...
Legal Services Consumer Panel publishes its latest "Tracker Survey" of people who have used legal services in the last two...
The SRA has published a professional standards report outlining the investigation, supervision and enforcement work they carry out and revealing...
SRA confirms that they will be keeping individual practising fee levels for 2019/20 at the same level whilst compensation fund...
Government responds to the Housing, Communities and Local Government Committee’s leasehold inquiry announcing some changes but leaving many, such as...
SRA publishes data which would seem to indicate that law firms are getting better at resolving complaints and that most...
BSB publishes new transparency rules in a revised edition of its Handbook. The new rules, which come into force immediately,...
Scottish Government publishes consultation on legal aid reform in Scotland seeking views on how to ensure current legal aid provision...
Infolegal Director Bronwen Still, a key speaker at this month's Legal Futures Regulation and Compliance Conference, addressed what law firms...
Law Society and the Solicitors Regulation Authority plan to cap practising certificate fees at their 2018/2019 level of £278 for...
Decline in the number, and complexity, of interventions allows SRA to announce fall in Compensation Fund contributions for 2019/20 to...
SRA review has revealed that a significant minority of law firms are not doing enough to prevent money laundering, with...
The revised requirements of The Law Society's Conveyancing Quality Scheme (CQS) came into effect on 1st May and, in an...
Law Society urges conveyancers to use new Freehold Management Enquiries (FME1) form to elicit information where a property being sold...
Law Society Updates CQS
The Law Society has launched a new set of Core Practice Management Standards for their CQS, which will come into...
HMCTS announces that it has obtained approval to begin small-scale testing of Video Hearings in Birmingham and Manchester.
SRA launches public consultation on potential changes to rules regarding how non-UK solicitors will qualify in England and Wales in the...
SRA releases details of the new digital badge that eventually all solicitor websites will need to carry and which is...
SRA reminds solicitors to adhere to all their professional obligations when engaged in litigation and not allow themselves to become...
Anticipating the fundamental changes about to take place in legal education, the Law Society has published an insight into the...
As part of their ongoing work on cyber security, the International Bar Association has published guidance, aimed mainly at small...
SRA issues guidance on what price and service information firms must publish on their websites in readiness for the introduction...
Law Society response to the SRA’s Reporting Concerns consultation calls for greater clarity in relation to the process for reporting...
The Law Society has reported that a landmark ruling from the Court of Appeal in the case of The Serious Fraud...
SRA urges solicitors to check the HM Treasury frozen assets review to make sure they are not holding monies belonging...
Following recent reports that firms have been infiltrated by fraudsters seeking to steal from clients, the Solicitors Regulation Authority is...
Law Society predicts that almost £3bn could be stripped from legal sector turnover by 2025 if the UK crashes out...
SRA Issues PPI Warning
SRA reminds law firms that they must make sure they are acting in their client’s best interests, and charging appropriately,...
Plans by the Solicitors Regulation Authority (SRA) to push ahead with rule changes that will create different tiers of regulation...
SRA announces planned package of regulatory reforms which, they claim, are designed to provide solicitors and law firms with greater...
SRA set the level of contributions to the Compensation Fund for 2018/19 - an substantial rise over previous year's levels.
Law Society states that SRA plans to reduce consumer protection standards in legal services would hurt solicitors and clients alike