Mock SRA Audit for Law Firms

Practical compliance review support for solicitors, COLPs, COFAs, MLROs and SRA-regulated firms
Clear guidance on SRA audit preparation, SRA AML audit checks, file reviews and law firm compliance audit recommendations

If your firm wants to prepare for an SRA audit, MAR Legal can provide a practical mock review designed to identify gaps before regulatory scrutiny arises. A mock SRA audit for law firms can help partners, COLPs, COFAs, MLROs and compliance teams understand whether the firm’s policies, controls, procedures and matter files are ready to withstand SRA questions.

An SRA audit can place significant pressure on a law firm. The regulator may ask to see evidence of systems, controls, supervision, AML compliance, client care, accounts procedures, training records, file reviews, breach logs and firm-wide risk management. A mock review allows the firm to assess its position before the SRA asks those questions directly.

MAR Legal supports solicitors and law firms with SRA audits, SRA AML audit preparation and law firm compliance audit reviews. The process is designed to be practical, proportionate and focused on real evidence, not just written policies. Whether your firm needs a targeted AML check, a wider compliance review, a file sampling exercise or support preparing for possible SRA scrutiny, our team can help.

Get in touch today or send your query for review to arrange an initial discussion.

Prepare Your Firm Before an SRA Audit

When is a Mock SRA Audit Needed?

A mock SRA audit may be needed when a law firm wants to test whether its compliance framework is working in practice. It may also be needed where a firm is expecting SRA contact, has received regulatory questions, has grown quickly, has identified file issues, or wants independent assurance before problems arise.

Many firms have policies and procedures in place, but an SRA audit is often concerned with whether those documents are actually being followed. A firm may have an AML policy, complaints policy, file review process and supervision structure, but still struggle to evidence consistent implementation across live matters.

A mock SRA audit for law firms may be useful where:

  • a firm wants to prepare for possible SRA audits
  • a COLP or COFA wants independent assurance on compliance systems
  • an MLRO needs support before an SRA AML audit
  • a firm has identified gaps in file reviews or matter risk assessments
  • a practice wants to test whether policies match actual file evidence
  • a firm has grown and needs a law firm compliance audit
  • partners are concerned about supervision, complaints or client care
  • a conveyancing department needs AML file checks
  • a firm is preparing for panel, insurer or regulatory due diligence
  • a compliance team wants a structured action plan before SRA scrutiny

In these situations, early review can help identify weaknesses, prioritise corrective action and reduce regulatory exposure.

Why is SRA Audit Preparation Important?

SRA audit preparation is important because regulatory scrutiny can expose gaps that may not be obvious from a desktop review. A policy may look adequate, but file records may not evidence client due diligence, source of funds checks, risk assessments, client care information, conflict checks, supervision or ongoing monitoring.

An SRA audit may also raise broader governance questions. The firm may need to explain who is responsible for compliance, how issues are reported, how breaches are recorded, how staff are trained and how management monitors risk. If this information is not readily available, the firm may appear reactive or poorly organised.

This type of support helps ensure that:

  • the firm understands its current SRA audit readiness
  • policies and procedures are tested against real evidence
  • an SRA AML audit review identifies financial crime compliance gaps
  • SRA audits are prepared for before regulator contact escalates
  • a law firm compliance audit highlights practical areas for improvement
  • file sampling identifies inconsistent practice
  • COLP, COFA and MLRO responsibilities are considered
  • staff training and supervision records are reviewed
  • management can prioritise corrective action
  • the firm can evidence improvement if challenged later

A mock SRA audit should not be about creating unnecessary anxiety. It should provide clarity, identify manageable improvements and help the firm demonstrate a more structured compliance approach.

Why Choose MAR Legal for a Mock SRA Audit?

Choosing the right adviser is important when preparing for an SRA audit. A useful review needs to understand both SRA expectations and the practical realities of running a legal practice. MAR Legal provides focused support for solicitors and law firms that need clear, practical and proportionate compliance review assistance.

  • Law firm-focused review:
    A law firm compliance audit should reflect the way legal practices operate. We review issues such as client files, supervision, AML, client care, complaints, conflicts, accounts procedures, training, breach reporting and management oversight.
  • Practical SRA audit preparation:
    The aim is to help the firm understand what the regulator may ask and whether the firm can evidence compliance. We focus on practical readiness rather than theoretical compliance.
  • SRA AML audit support:
    AML remains a major SRA priority. We can review firm-wide risk assessments, matter risk assessments, client due diligence, enhanced due diligence, source of funds evidence, source of wealth checks, sanctions screening and ongoing monitoring.
  • File sampling and testing:
    SRA audits often expose gaps through file review. We can carry out targeted file sampling to assess whether procedures are being followed and whether matter files evidence the decisions made.
  • Clear recommendations:
    A mock SRA audit should produce practical recommendations. We help identify what needs urgent attention, what can be improved over time and what evidence should be retained.
  • Support for COLPs, COFAs and MLROs:
    Compliance officers often need clear information to report to management and drive change. We can help identify risks, prepare action points and support internal decision-making.
  • Commercially realistic approach:
    Compliance should be robust but workable. We focus on proportionate improvements that reduce risk without overwhelming the firm.
  • Confidential and constructive support:
    A mock review may identify sensitive issues. We approach the work confidentially and constructively, helping the firm improve rather than simply criticising.
  • Preparation for future scrutiny:
    Whether the firm is expecting contact from the SRA or simply wants reassurance, early SRA audit preparation can help reduce uncertainty.

Choosing MAR Legal means working with a team that prioritises clarity, practicality and regulatory readiness.

What Our Team Will Explain

During your initial consultation, our team will provide clear guidance on the mock SRA audit process and the areas most relevant to your firm. The aim is to understand your current compliance position, identify priority areas and agree a practical review scope.

This may include:

  • what an SRA audit may involve
  • whether your firm needs a full or targeted review
  • whether an SRA AML audit should be prioritised
  • what documents and files should be sampled
  • whether existing policies reflect current practice
  • how file review findings should be recorded
  • whether COLP, COFA or MLRO responsibilities need review
  • whether staff training evidence is sufficient
  • how breach logs and complaints records should be assessed
  • whether a law firm compliance audit should include accounts issues
  • how findings will be reported
  • how corrective action should be prioritised

Our team ensures that SRA audit support is clear, practical and aligned with your firm’s risk profile.

How MAR Legal Can Help with Mock SRA Audits

MAR Legal provides mock SRA audit support for law firms that want to assess compliance readiness before regulatory scrutiny. Whether the firm needs SRA audit preparation, an SRA AML audit review, file sampling, policy testing, or a broader law firm compliance audit, the focus is on practical findings and workable recommendations.

Mock SRA Audit Review

A mock SRA audit is a structured review of the firm’s compliance framework and evidence. The scope can be tailored depending on the size of the firm, work areas, risk profile and immediate concerns.

A review may include:

• firm governance documents
• COLP and COFA arrangements
• MLRO and AML controls
• policies and procedures
• training records
• file review records
• breach logs
• complaints records
• supervision systems
• client care documentation
• accounts-related procedures
• matter file sampling

The purpose is to identify whether the firm can evidence compliance and where improvements may be needed.

SRA AML Audit Preparation

An SRA AML audit can be particularly detailed. Law firms may need to show that they have a firm-wide risk assessment, compliant policies, proper client due diligence, source of funds evidence, matter risk assessments and ongoing monitoring.

We can assist with reviewing:

• firm-wide AML risk assessments
• AML policies and procedures
• matter risk assessments
• client due diligence records
• enhanced due diligence
• source of funds evidence
• source of wealth evidence
• sanctions screening
• politically exposed person checks
• high-risk jurisdiction controls
• suspicious activity escalation
• AML training records

A strong SRA AML audit review can help the firm identify gaps before the regulator does.

Law Firm Compliance Audit

A law firm compliance audit can go beyond AML and review the wider compliance framework. This can be useful where partners or managers want a broader view of the firm’s regulatory position.

A law firm compliance audit may consider:

• client care procedures
• costs and engagement information
• complaints handling
• conflicts of interest
• confidentiality controls
• supervision arrangements
• competence and training records
• undertakings
• file opening and closing procedures
• breach recording
• compliance reporting
• management oversight

The review can help identify whether the firm’s systems are clear, current and properly implemented.

File Sampling and Evidence Testing

File sampling is often one of the most useful parts of a mock audit. It tests whether procedures are being followed on real matters.

We can review sample files for:

• client identification evidence
• client care letters
• scope of retainer
• costs information
• risk assessments
• source of funds records
• conflict checks
• supervision notes
• attendance notes
• complaints information
• matter closure documents
• ongoing monitoring records

This helps the firm understand whether staff are applying procedures consistently.

Policy and Procedure Review

SRA audits may ask whether the firm has appropriate written policies and whether those policies are followed. Policies should be clear, current and specific to the firm.

We can assist with reviewing:

• AML policies
• complaints policies
• client care procedures
• supervision policies
• conflicts procedures
• confidentiality procedures#
• breach reporting processes
• sanctions procedures
• training policies
• file review procedures
• accounts-related procedures

Where gaps are identified, updated policies and procedures can be prepared.

Reporting and Action Plans

The value of a mock SRA audit lies in the action that follows. A clear report can help the firm understand priority issues and decide what needs to happen next.

We can assist with:

• preparing findings summaries
• identifying urgent issues
• ranking recommendations
• assigning action owners
• preparing compliance action plans
• supporting management reporting
• reviewing progress
• updating documents
• preparing follow-up reviews

This helps ensure that the review leads to practical improvement.

Speak to MAR Legal Today

If your law firm requires support with an SRA audit, SRA AML audit, SRA audits, or a law firm compliance audit, MAR Legal can assist. A mock audit for law firms can help identify compliance gaps, strengthen documentation and prepare the firm for possible regulatory scrutiny.

Whether you need a targeted AML review, a wider compliance audit, file sampling, policy review, or practical SRA audit preparation, our team can help.

Contact MAR Legal today to arrange an initial discussion or send your documents for review. You can read more about regulatory expectations directly from the Solicitors Regulation Authority website.

Contact Us info@marlegal.co.uk

A Simple and Efficient Process

Most mock audit support can begin quickly once the firm’s documents, policies and sample files have been provided. The process is designed to be confidential, practical and proportionate.

1

Send Your Documents or Query

Provide your current policies, procedures, AML documents, firm-wide risk assessment, file review records, breach logs, complaints data, training records, SRA correspondence, or background information. Our team will carry out an initial review to understand the firm’s position.

2

Confirm the Scope of the Review

Once the material has been considered, the scope of the mock SRA audit can be agreed. This may involve SRA audit preparation, a targeted SRA AML audit review, a broader law firm compliance audit, file sampling, policy review, or a compliance health check.

3

Review Documents and Sample Files

Our team will review the agreed documents and sample files. The review will focus on whether the firm can evidence compliance and whether written procedures match actual practice.

4

Provide Findings and Recommendations

Following the review, practical findings and recommendations can be provided. This may include priority actions, policy updates, file review improvements, training needs and compliance reporting recommendations.

5

Support Implementation if Required

Where required, support can be provided to help implement recommendations. This may include updating procedures, preparing training, improving file review templates, supporting COLP or MLRO reporting and carrying out follow-up reviews.

mock SRA audit for law firms and solicitors in the UK

Fixed Fee Pricing

We offer clear and transparent pricing for mock SRA led audit work, SRA AML audit reviews and law firm compliance audit support where the scope can be defined in advance.

Fees will be confirmed depending on the size of the firm, the number of documents, the number of files sampled and the urgency of the review.

Client Success Stories

  • A solicitor’s firm wanted reassurance before possible SRA audit scrutiny. MAR Legal reviewed policies, training records and sample files, identifying gaps in supervision notes, client care evidence and matter risk assessment documentation. The firm received a practical action plan to improve compliance records.

    Mock SRA Audit for a Solicitor’s Firm

  • A conveyancing department required SRA AML audit preparation after concerns were raised about source of funds records and matter risk assessments. MAR Legal reviewed sample files, AML procedures and training records, then provided recommendations to improve evidence and consistency.

    SRA AML Audit Preparation for a Conveyancing Team

  • A growing practice needed a law firm compliance audit after opening new departments and taking on additional staff. MAR Legal reviewed governance arrangements, complaints records, file review processes and compliance procedures, helping the firm strengthen oversight and internal reporting.

    Law Firm Compliance Audit After Growth

Independent and Professional SRA Audit Support You Can Rely On

Clear, practical guidance for law firms preparing for regulatory scrutiny

When preparing for an SRA audit, it is essential that advice is clear, practical and focused on real evidence. Many firms have written procedures, but the key issue is whether the firm can show that those procedures are being applied consistently.

MAR Legal provides mock SRA audit support designed to help law firms understand their current position and take action before regulatory scrutiny escalates. Whether the issue involves SRA led audits, an SRA AML audit, a law firm compliance audit, file sampling, policy review, training records, supervision systems or COLP reporting, the focus is on practical improvements.

Our team takes time to understand the firm’s structure, work areas, client base, policies, files and compliance arrangements. This helps ensure that recommendations are relevant and realistic rather than generic.

The objective is to help your firm prepare properly, identify gaps, improve evidence and reduce avoidable regulatory risk.

Get in touch today to arrange an initial discussion or send your documents for review.

Contact Us info@marlegal.co.uk

FAQs About Our Mock Audits for SRA Services

A mock audit is a review designed to help a law firm assess whether its compliance framework is ready for potential SRA scrutiny. It can include policies, procedures, file sampling, AML checks, training records and compliance reporting.

A law firm may need an audit review to identify gaps before the regulator raises concerns. It can help partners, COLPs, COFAs and MLROs understand whether the firm can evidence compliance.

An SRA AML audit is a review focused on anti-money laundering compliance. It may consider firm-wide risk assessments, AML policies, matter risk assessments, client due diligence, source of funds, source of wealth, sanctions screening and training.

SRA audits may consider areas such as AML compliance, client care, accounts procedures, complaints handling, file supervision, conflicts, confidentiality, training, breach reporting and firm governance.

A law firm compliance audit is a structured review of a firm’s compliance arrangements. It may cover policies, procedures, files, complaints, supervision, AML, accounts, training and internal reporting.

No. A mock audit can be useful for firms of all sizes, including sole practitioners, small practices, growing firms and larger SRA-regulated businesses.

A mock audits helps a COLP identify compliance gaps, prepare reports for management, improve breach recording, review supervision systems and evidence corrective action.

A mock audit can help an MLRO by reviewing AML systems, firm-wide risk assessments, matter risk assessments, suspicious activity escalation, source of funds procedures and AML training records.

The number of files to sample depends on the firm’s size, departments, matter types and overall risk profile. Higher-risk areas such as conveyancing, private client, corporate work and property transactions may need a more focused sample so the firm can see whether procedures are being followed consistently.

Yes. File sampling can show whether required steps are being completed, whether records are clear, whether decisions are documented and whether staff are applying the firm’s procedures in practice. It can also highlight patterns that may not be obvious from reviewing policies alone.

Useful documents may include policies, procedures, AML records, firm-wide risk assessments, training records, file review notes, complaints logs, breach records, supervision records and selected matter files. The exact list will depend on the scope of the review and the areas being checked.

Yes. The review can often be carried out remotely using secure document sharing, video calls and written reporting. This allows firms across the UK to access support efficiently without needing an in-person visit in every case.

The timescale depends on the size of the firm, the number of documents, the file sample and the scope of the review. A targeted AML or file review may be quicker than a broader regulatory health check covering multiple departments.

Yes. MAR Legal can assist with implementation after the review. This may include updating procedures, preparing templates, improving internal records, supporting compliance officers and helping the firm prioritise corrective action.

No. AML is often a major focus, but the review can also cover client care, complaints, supervision, competence, accounts processes, conflicts, confidentiality, transparency requirements and wider firm governance.

Yes. A structured review can help reduce regulatory risk by identifying weaknesses early and giving the firm an opportunity to take corrective action before issues escalate or become harder to resolve.

Common issues include incomplete checks, weak source of funds evidence, outdated policies, inconsistent matter risk assessments, missing training records, limited supervision notes, unclear breach records and gaps between written procedures and actual file practice.

MAR Legal provides practical review support for law firms. The work is tailored to the firm’s departments, risk profile, compliance framework and internal systems, with clear recommendations designed to improve day-to-day practice.

Yes. Where required, the review can include accounts-related procedures, client money controls, residual balances, billing processes, reconciliations and COFA reporting arrangements.

Yes. A wider firm review can include client care checks, including engagement letters, costs information, complaints information, scope of retainer, client communication records and file-opening processes.

Yes. A structured review can help a firm prepare before regulator contact or inspection by identifying gaps, organising documents, improving evidence and helping the firm answer questions more confidently.