Compliance Documents & Regulatory Precedents for Solicitors

Ready-to-use regulatory templates, policies and precedents for UK law firms

The Infolegal InfoHub provides solicitors with a comprehensive library of regulatory templates, policies, checklists and forms, designed to support compliance with SRA Standards and Regulations, the SRA Accounts Rules, AML obligations, data protection obligations, and wider risk management requirements.

These documents are practical, solicitor-focused and written to be adopted, adapted and implemented immediately within your firm.  

A Practical Compliance Toolkit – Not Just Theory

Maintaining compliance is not about having policies in name only. The SRA expects firms to demonstrate systems, controls and evidence. Our precedents help you do exactly that.

The library includes policies, procedures, registers, logs, letters, checklists and template agreements that firms can use to show how regulatory risks are identified, managed and recorded in practice.

What the Precedents Cover

The documents span a wide range of regulatory and operational risks faced by solicitors’ practices, including:

Core Regulatory & Governance Templates

• COLP and COFA role descriptions and duties checklists
• SRA Transparency Rules checklists
• Complaints handling policies (firm and sole practice versions
• Client surveys and client-care related templates
• Referral agreements and conflicts-related documentation
• Reserved activities, supervision and litigation-role templates following recent case law
• Retainer Letters
• File Review Forms

Risk Management & Business Continuity

• Risk management policies and risk registers
• Business continuity plans and disaster recovery templates
• Working from home and hybrid working policies
• Home-working self-assessment risk forms
• Environmental, modern slavery and ESG-related policies

Cybersecurity & Technology Risk

• Cybersecurity and information-security policies
• Email, internet, social media and password policies
• Clear desk and screen policies
• Security incident logs and breach reporting forms
• Artificial intelligence policies and AI-related terms of business

Data Protection & Privacy Compliance

• UK GDPR and Data Protection Act-aligned policies
• Data breach management and complaints policies
• Subject Access Request (SAR) policies, logs and response letters
• Privacy notices for clients and websites
• Legitimate interest assessments and data-processing agreements

Wellbeing & Diversity

• Menopause policy
• Sexual harassment policy, survey and risk assessment
• Working from home documentation

Designed for Real-World Compliance

All precedents are drafted specifically for UK solicitors’ firms, reflecting regulatory expectations, professional obligations and common risk areas identified by regulators, insurers and auditors.

They are suitable for:

• Sole practitioners
• Small and medium-sized firms
• Larger practices with dedicated compliance teams
• COLPs, COFAs and practice managers

Each document is structured to integrate seamlessly into your Office Procedures Manual, compliance plan or regulatory audit file.

Kept Up to Date as the Rules Change

Regulatory requirements evolve constantly. Infolegal updates its compliance precedents to reflect new legislation, SRA guidance, case law and emerging risks, helping firms avoid outdated or non-compliant documentation.

This makes the library a living compliance resource, not a static set of templates.