Articles

Sanctions Compliance – Sledge Hammers and Walnuts

There has been a good deal of SRA activity around the subject of sanctions controls in recent months. The whole topic of sanctions, and the limits that they place on client relatio

Raising the bar on competence: what the SRA’s new consultation means for law firms

On 22 April 2026, the Solicitors Regulation Authority (SRA) opened a consultation titled Strengthening our continuing competence approach. It runs until 15 July 2026, and the propo

HMRC Registration – Timetable and Processes

In our February article “Interacting with HMRC? Registration Will Soon Be Mandatory“, we explored the government’s intention to introduce a mandatory registration regime for those

To Be or Not to Be a Tax Adviser

In simpler times knowing who might be a tax adviser was easy to understand. Predictably, perhaps, the Money Laundering Regulations 2017 stated that a tax adviser was a firm or sole

Interacting with HMRC? Registration Will Soon Be Mandatory

The HMRC decision to introduce a mandatory registration regime for advisers who interact with it on behalf of clients is one of those developments that looks deceptively technical

Revised AML and Sanctions Controls Guidance Notes from the SRA

Keeping pace with the Solicitors Regulation Authority’s expectations on anti-money laundering and sanctions compliance is becoming an increasingly demanding task. Over the past few

AI-generated complaints: responding without losing control

Complaints have always been part of legal practice, and there are clear rules and guidance on how they should be addressed and progresses. Now, however, the very nature of those c

Legal Ombudsman – Early Resolution Through Effective Complaint Handling

The Legal Ombudsman (LeO) has highlighted the critical importance of robust, first-tier complaint handling by legal service providers in its latest Spotlight on Early Resolution gu

Document Certification – Practical Compliance for Solicitors’ Firms

Document certification is a task that many solicitors regard as routine, administrative or low risk. In practice, however, it is an activity that engages core professional duties r

Source of Funds and Source of Wealth

Our final note on AML compliance for 2025 looks at the often thorny issues of the checks required on source of funds and source of wealth. This is more or less a constant theme of

Strengthening Safeguards for Client Money: A New Chapter in Regulation?

This month, the Solicitors Regulation Authority (SRA) has launched yet another consultation aimed at bolstering protections for client money held by solicitors – “Further consultat

Towards FCA Controls of AML for Solicitors

The UK was subject to a report on its anti-money laundering controls by the Financial Action Task Force (FATF) in 2018. This resulted in a largely clean bill of health but there wa

After-Mazur - What is the Position Now and What Should Firms be Doing?

The High Court decision in Mazur & Anor v Charles Russell Speechlys LLP has triggered a flurry of panic and anxiety within the legal profession and caused the need for a sweeping r

AML Reform: A Backward Step for the Legal Profession?

The UK government’s decision to strip the Solicitors Regulation Authority (SRA) and other professional bodies of their anti-money laundering (AML) supervisory roles and hand oversi

The Rising Threat to UK Solicitors: Cyber Risk in 2025 and Beyond

Cyber risk has become the most immediate and serious threat to the operation of law firms. Yet many practices still treat it as a technical issue rather than a partner-level priori

Mazur v Charles Russell Speechlys: A Turning Point for Litigation Teams?

The High Court’s judgment in Mazur & Anor v Charles Russell Speechlys LLP [2025] EWHC 2341 (KB) has been described as a “bombshell” for the profession. The case posed a deceptively

Why Every Law Firm Now Needs a Data Protection Complaints Policy

The introduction of the Data Use and Access Act 2025 (DUAA 2025) marks a significant shift in the way organisations must deal with data protection concerns. For the first time, ind

SRA Updates its Sectoral AML Risk Assessment

The SRA issued a revised and updated AML risk assessment for the Legal Sector on the 31st July. For those who doubt the relevance of this to their firm it should be remembered that

Impact of the Data Use and Access Act 2025 on Legal Practices

The Data Use and Access Act 2025 (DUAA) represents the most significant reform of the UK’s data protection legislation since the implementation of the UK General Data Protection Re

The Likelihood of Simpler Money Laundering Regulations

HM Treasury MLR Review It was announced at the end of June that HM Treasury is to review the Money Laundering Regulations (MLR) that apply to the great majority of firms later this