Setting up a new solicitors’ practice or applying for Alternative Business Structure (ABS) authorisation is one of the most demanding regulatory exercises a firm can undertake. It is not simply an administrative process, but a detailed examination by the regulator of a firm’s people, structure, finances, systems and culture. Infolegal provides specialist, end-to-end support to solicitors, managers and owners navigating SRA firm authorisation, helping firms approach the process with confidence and clarity.
This service is designed for firms and those setting up new firms that want hands-on, practical assistance with one of the most complex regulatory processes a solicitor can face.
Whether you are applying to establish a traditional recognised body or an ABS, authorisation by the Solicitors Regulation Authority requires careful preparation and a clear understanding of regulatory expectations. The SRA will look closely at how the proposed firm will be owned and managed, how risks will be identified and controlled, and how regulatory obligations will be met in practice, not just on paper.
Applicants must demonstrate that they have appropriate governance arrangements, clearly defined roles and responsibilities, and effective systems and controls covering areas such as anti-money laundering, financial crime, data protection, client care, complaints handling and financial management. The application must also show that the firm will be financially viable and sustainably run, and that those involved in ownership and management meet the SRA’s standards of fitness and propriety.
Applications typically involve:
Errors, omissions or inconsistencies can lead to delays, extensive follow-up questions or, in some cases, refusal.
Many solicitors find that ABS and new firm applications are more demanding than expected. The process is detailed and iterative, often involving extensive follow-up questions from the SRA. Common difficulties arise where ownership or management structures are unclear, where compliance documentation is generic or inconsistent, or where risk assessments do not reflect the reality of the proposed practice.
Firms can also struggle to articulate how their policies will operate in day-to-day practice, particularly around supervision, AML controls and governance. For first-time applicants, the responsibilities of COLPs, COFAs, MLROs and MLCOs can appear daunting, and misunderstandings at this stage can create ongoing regulatory risk once the firm is authorised.
Common challenges include:
These issues often arise not from lack of competence, but from lack of specialist regulatory experience in firm authorisation.
Infolegal provides practical, solicitor-focused regulatory support throughout the entire application lifecycle. Drawing on deep experience in law-firm compliance and working in conjunction with specialists from Enderley Consulting, we help firms prepare applications that are coherent, well-evidenced and aligned with current SRA expectations.
Our involvement typically begins at an early stage, helping firms consider whether an ABS structure is appropriate for their business model and advising on ownership, management and governance arrangements. We then work with you to develop and refine the compliance framework that underpins the application, ensuring that policies, procedures and risk assessments are proportionate, consistent and capable of operating effectively in practice.
We also support firms in responding to SRA queries, helping to clarify issues, address concerns and provide the evidence the regulator is seeking. This can significantly reduce delays, minimise stress and improve the overall quality of engagement with the SRA.
Our support typically includes:
Crucially, our advice is grounded in real law-firm experience, not just theory.
A key advantage of using Infolegal is that compliance is embedded from the outset rather than bolted on after authorisation. New firms and ABSs can be set up with a fully integrated compliance framework aligned to the Infolegal InfoHub, including policies, procedures, training records, risk registers and governance documentation.
This approach not only supports a successful application but also puts the firm in a strong position once it is authorised. It helps demonstrate a culture of compliance, supports effective supervision and training, and provides clear audit trails that can be relied upon if the firm is subject to regulatory scrutiny in the future.
This helps to ensure that:
Infolegal’s ABS and new law firm application support is suitable for a wide range of scenarios. It is particularly valuable for:
By using Infolegal’s specialist support, firms gain access to independent regulatory expertise that is grounded in real law-firm experience. This reduces uncertainty, helps avoid common pitfalls and increases confidence when dealing with the regulator. Firms benefit from clearer governance structures, stronger compliance systems and a smoother transition from application to authorised practice.
Above all, Infolegal helps ensure that setting up a new firm or ABS is a strategic, well-managed process, allowing solicitors to focus on building a sustainable and successful practice, safe in the knowledge that regulatory foundations are sound.
Setting up a law firm or ABS should be an exciting step, not a regulatory obstacle course. Infolegal helps ensure your application is robust, compliant and fit for the future, allowing you to focus on building a successful legal practice.
Please feel free get in touch with us. We will always do our best to get back to you as soon as possible and always within 1-2 business days.
