Law Firm Compliance | Regulation Solicitors

Running a law firm means managing regulatory obligations that are detailed, overlapping and constantly evolving. Our solicitors advise on the full range of law firm compliance requirements, from day-to-day SRA obligations through to enforcement, lifecycle events and risk governance.

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Business professionals discussing regulatory compliance in a boardroom meeting

What law firm compliance involves

Law firm regulatory compliance is not a single obligation, it is an ongoing set of responsibilities that touch every part of how a firm operates. The SRA Code of Conduct, AML regulations, transparency rules, COLP and COFA obligations, and the Accounts Rules each carry their own requirements, and the consequences of getting them wrong range from regulatory censure to firm closure.

For many firms, the difficulty is not understanding that these obligations exist, it is building the internal processes to meet them consistently. Our solicitors work with law firms across Manchester and the UK to put those processes in place, review what is already there, and provide support when something goes wrong.

Whether you are a sole practitioner managing compliance on your own, a growing firm building out your governance framework, or a COLP or COFA looking for external support, the right advice at the right stage makes a material difference to how your firm manages regulatory risk.

How our solicitors help law firms with compliance and regulation

Advice across the full range of law firm compliance obligations, regulatory investigations and lifecycle events.

SRA Compliance

Advice on meeting your ongoing SRA obligations, including the Code of Conduct, Accounts Rules, transparency requirements and COLP and COFA responsibilities. Our solicitors help firms build compliance frameworks that work in practice, not just on paper.

Regulatory Investigations & Enforcement

Support when the SRA opens an investigation, issues a notice or takes enforcement action. Our solicitors advise on how to respond, what to disclose, and how to protect your position throughout the process, from initial contact through to resolution.

Law Firm Lifecycle

Advice on the regulatory requirements at each stage of a firm’s life, including new firm authorisation, licensed body applications, selling a practice and closing a firm. Each event carries its own SRA obligations, and our solicitors advise on meeting them correctly.

AML & Financial Crime Compliance

Law firms are supervised for AML purposes by the SRA. Our solicitors advise on AML policy frameworks, risk assessments, client due diligence procedures and how to respond if your firm’s AML compliance is questioned by the regulator.

Risk, Audit & Governance

Compliance audits, internal investigations, policies and procedures, and risk management frameworks for law firms that want to understand and strengthen their regulatory position before a problem arises rather than after.

Retained Compliance Support

Ongoing advisory support for firms that need a compliance resource without the cost of a full-time compliance officer. Our solicitors provide retained support, regulatory training and mock SRA audits to keep your firm audit-ready throughout the year.

What this means for your firm

Regulatory obligations managed before they become enforcement issues
Clear advice on what the SRA expects and how to meet it
Support at every stage of your firm’s regulatory lifecycle
Frameworks that hold up under SRA scrutiny
External compliance resource without the overhead of a full-time hire

When to seek advice on law firm compliance

Your firm has received correspondence from the SRA that requires a response
You are setting up a new firm or applying for ABS authorisation
Your COLP or COFA role has changed, and you need to understand your obligations
An internal matter has arisen that may need to be reported to the SRA
You are planning to sell or close your firm and need regulatory guidance on the process

Meet the Founder

Marium brings 22 years of experience advising law firms and regulated professionals on compliance, regulatory investigations and governance matters across the UK and internationally. A solicitor regulated by the SRA (ID: 277854), MCIArb, and DIFC Courts mediator, she founded MAR Legal to give law firms direct access to senior regulatory advice without the overhead of a traditional consultancy.

Marium Razzaq
Solicitor & Director Mar Legal
MCIArb

Why law firms choose MAR Legal for compliance support

Solicitor Led

Compliance advice delivered by solicitors who understand the SRA framework from the inside

Clear Timescales

Delivery dates agreed at the outset and met without the need to chase.

Fixed Fee

Clear pricing on compliance audits, policy reviews and lifecycle support before work begins.

Commercial Focus

Regulatory advice that reflects how your firm operates, not just what the rulebook says.

Trusted by law firms and regulated professionals across the UK for clear, practical advice on law firm regulatory compliance.

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How our law firm compliance process works

Initial assessment

We discuss your firm’s situation, identify the relevant regulatory obligations and confirm how we can help.

Advice and documentation

We provide written advice, draft or review the required policies and frameworks, and identify any gaps that need addressing.

Implementation support

We work with your team to put the right processes in place and ensure the people responsible understand what is required of them.

Ongoing review

For firms on a retained basis, we provide regular compliance reviews, training and audit support to keep your firm’s position current.

What Our Clients Say

Law Firm Compliance FAQs

Law firm compliance covers a broad set of obligations under the SRA Standards and Regulations, including the Code of Conduct, Accounts Rules, AML requirements and transparency obligations. Every authorised firm must have a COLP and COFA in place, maintain adequate systems and controls, and report certain matters to the SRA. The specific requirements depend on the firm’s structure, size and the work it undertakes, but the underlying expectation is that compliance is treated as an active, ongoing function rather than a box-ticking exercise.

The Compliance Officer for Legal Practice (COLP) is responsible for ensuring the firm meets its obligations under the SRA Standards and Regulations. The Compliance Officer for Finance and Administration (COFA) is responsible for ensuring compliance with the SRA Accounts Rules. Both roles carry personal regulatory accountability, which means the individual in each role can face SRA scrutiny separately from the firm itself. Firms must notify the SRA when these roles change, and both officers are expected to have a working understanding of the obligations that attach to their position.

The SRA requires firms to report matters that are serious, which includes significant breaches of the Code of Conduct, Accounts Rules breaches involving client money, events that affect the firm’s ability to practise, and certain conduct issues involving individuals at the firm. The threshold is not always obvious, and the consequences of under-reporting or over-reporting both carry risk. If you are uncertain whether something needs to be reported, taking advice before making a decision is the right approach.

An SRA investigation typically begins with a letter or email requesting information or documents. The firm is expected to cooperate fully and respond within the timeframe given. From there, the investigation may be closed with no further action, resolved by way of a regulatory settlement, or escalated to a disciplinary tribunal. The way a firm responds at the outset, including what it says, what it discloses and how it engages, has a material effect on how the matter progresses and what the outcome looks like.

Law firms carrying out certain types of work, including conveyancing, company formation, client account management and trust work, fall within the scope of the Money Laundering Regulations. The SRA supervises law firms for AML purposes and expects firms to have a written AML policy, a nominated officer, client risk assessments, and ongoing due diligence procedures in place. Firms that are found to have inadequate AML controls face regulatory action from both the SRA and HMRC.

Closing a law firm involves notifying the SRA, making arrangements for outstanding client matters and client files, dealing with client money held in the firm’s account, and ensuring professional indemnity cover remains in place for the required run-off period. The COLP is responsible for managing the regulatory aspects of the closure and must ensure the SRA is kept informed throughout the process. Firms that close without following the correct procedure risk regulatory consequences for the individuals involved.

Our solicitors provide retained compliance advisory support for law firms that need external input on an ongoing basis. This covers regular compliance reviews, policy updates, COLP and COFA support, regulatory training and mock SRA audit preparation. This is not a substitute for the firm having a designated COLP and COFA in post, as those roles carry personal regulatory accountability that cannot be outsourced, but it provides the external resource and oversight that many smaller and mid-sized firms find useful.

MAR Legal provides advisory and documentation support on law firm compliance and regulatory matters. Where a matter involves reserved legal activities or regulated representation before a tribunal or disciplinary body, we work alongside appropriately regulated professionals.

Law Firm Compliance and Regulation

What law firm compliance involves