Articles
HMRC Registration – Timetable and ProcessesMarch 27, 2026HMRC has published a defined timetable and provided further clarity on how the registration process will operate in practice. For solicitors’ firms, particularly those engaged in conveyancing, private client and corporate transactional work, this is no longer a future compliance issue.Read More
To Be or Not to Be a Tax AdviserMarch 24, 2026
The article explains how the expanded definition of a tax adviser under the Money Laundering Regulations creates uncertainty for solicitors, particularly where tax advice is incidental, and concludes that most firms should consider registering as a tax adviser to mitigate regulatory risk.
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Interacting with HMRC? Registration Will Soon Be MandatoryFebruary 12, 2026HMRC’s mandatory registration for advisers who interact with it on behalf of clients likely to affect many solicitors in quite practical ways and will cut across departments, practice areas and firm sizes. We look here at some of the effects these proposals will have.Read More
Revised AML and Sanctions Controls Guidance Notes from the SRAFebruary 11, 2026Keeping pace with the Solicitors Regulation Authority’s expectations on anti-money laundering and sanctions compliance is becoming an increasingly demanding task. In this article we provide a summary of some of the more recent changes and guidance.Read More
AI-generated complaints: responding without losing controlFebruary 9, 2026Complaints 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 complaints is changing following the growth in the use of generative AI programmes. This article looks at some of the issues that arise.Read More
Legal Ombudsman – Early Resolution Through Effective Complaint HandlingJanuary 26, 2026The 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 guidance published on 19 January.Read More
Document Certification – Practical Compliance for Solicitors’ FirmsJanuary 22, 2026Document 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 relating to integrity, public trust and regulatory compliance. Here we look at some of the issues that arise.Read More
Source of Funds and Source of WealthDecember 16, 2025The SRA’s latest findings underline that firms must take a genuinely risk-based approach to source of funds and (where needed) source of wealth checks, backed by clear evidence and file notes. Weak documentation and superficial scrutiny remain common failings.Read More
Strengthening Safeguards for Client Money: A New Chapter in Regulation?December 13, 2025SRA’s December 2025 consultation proposes tighter safeguards for client money across the profession, focusing on stronger accountants’ report reporting, annual declarations and improved data flows, plus clearer COLP/COFA separation to build internal checks. It also reopens questions about the client-account model and Compensation Fund sustainability. Read More
Towards FCA Controls of AML for SolicitorsNovember 24, 2025Here we look further at the government’s plan for the FCA to assume responsibility for AML supervision of the legal profession, highlighting concerns about increased regulatory scrutiny and uncertainty for law firms. It explores rising compliance costs and questions over privilege and future enforcement approaches and concludes by urging firms to strengthen their AML policies controls and procedures.Read More