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Meeting our standards for good qualifying work experience - Guidance

Understand how your firm can meet our expected standard when offering qualifying work experience (QWE).

Legal professional privilege when working in-house - Guidance

This guidance is to help you understand the key issues that in-house solicitors face when considering legal professional privilege (privilege) and how you can navigate them

Reporting and notification obligations - Guidance

To help you understand your reporting and notification obligations to us.

How we gather evidence in our regulatory and disciplinary investigations - Guidance

Understand how we gather evidence, the investigatory powers we have to gather evidence and how we can use those powers.

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Anti-money laundering policies, controls and procedures - Guidance

To help you understand your obligations and how to comply with them. We may have regard to it when exercising our regulatory functions.

Misuse of AI - Warning notice

The use of Artificial Intelligence (AI) in the provision of legal services by regulated firms and individuals.

Dealing with conflicts of interest, independence and confidentiality for in-house solicitors

The following case studies highlight the importance of the identification and disclosure of conflicts of interest, independence and confidentiality for in-house solicitors.

Using or arranging Third-Party Litigation Funding

Understand how you can use third-party litigation funding in a way that complies with our Standards and Regulations. This includes funding or financing client litigation or introducing clients to third-party funders (funders).

Compliance with the money laundering regulations – firm risk assessment - Warning notice

This Warning Notice reminds you of your legal obligations to make sure that you do not facilitate money laundering or terrorist financing and understand your obligations under the money laundering regulations.

Firm-wide risk assessments - Guidance

Understand how firms subject to the money laundering regulations must comply with the requirement to have a firm wide risk assessment under regulation 18.

Complying with the UK Sanctions Regime - Guidance

This guidance is to help you understand your obligations and how to comply with them. We will have regard to it when exercising our regulatory functions

Client and matter risk assessments - Warning notice

To help you understand your obligations and how to comply with them. We may have regard to it when exercising our regulatory functions

Money laundering and terrorist financing - Warning notice

This Warning Notice reminds you of the warning signs of suspicious transactions.

Effective supervision - Guidance

Guidance for solicitors and firms the SRA regulates that supervise individuals delivering legal services. This includes services delivered by individuals who are not authorised by us.

Reporting concerns about wrongdoing when working in-house - Guidance

To help you understand what we expect you to do when you are concerned about actions taken or decisions made by your organisation.

Multi-disciplinary practices: Regulation of non-reserved legal activity - Guidance

To help you understand how we will regulate reserved and non-reserved legal activity in an MDP.

Terminating a retainer - Guidance

To clarify the circumstances in which a solicitor or firm may be entitled to terminate an existing client retainer.

Terminating a retainer - Case study

These case studies are formulated to help you consider your professional obligations in circumstances where you are considering terminating a client retainer.

Claims management activity - Guidance

This guidance explores professional duties and key risks for solicitors, law firms and their employees when representing clients during claims.

'No win, no fee' and other fee arrangements in high-volume consumer claims - Warning notice

This warning notice is relevant to all firms and individuals we regulate who work in high-volume consumer claims