SRA Compliance

SRA Compliance Support for Law Firms

Compliance with the Solicitors Regulation Authority (SRA) is crucial for law firms operating in the UK. At MAR Legal, we assist legal professionals in understanding and meeting their regulatory obligations efficiently. Our expertise ensures that firms remain compliant while focusing on delivering excellent legal services.

Contact us for a consultation and expert advice on SRA Compliance

Why SRA Compliance Matters


The Solicitors Regulation Authority (SRA) sets the professional standards and regulatory framework that govern solicitors and law firms across England and Wales. These rules are designed to ensure transparency, ethical conduct, and integrity within the delivery of legal services.

Compliance with SRA requirements is not optional — it is a core responsibility for all authorised firms. Failing to meet these obligations can lead to serious consequences, including regulatory investigations, disciplinary proceedings, financial penalties, or lasting reputational harm. In some cases, it may even result in suspension or closure of the practice.

Understanding the scope of your regulatory duties is essential to running a compliant and successful firm — and that’s where MAR Legal can help.

How MAR Legal Can Help

We provide a comprehensive range of SRA compliance support services, including:

  • New Firm Authorisation – Assisting new firms with the application process and regulatory setup.
  • Regulatory Compliance Audits – Reviewing firm policies and procedures to ensure alignment with SRA guidelines.
  • Risk and Compliance Training – Educating legal professionals on best practices and regulatory obligations.
  • Anti-Money Laundering (AML) Compliance – Helping firms implement robust AML policies and risk assessments.
  • Client Care and Complaints Handling – Ensuring firms meet SRA requirements for client communication and dispute resolution.
  • COLP & COFA Support – Advising Compliance Officers for Legal Practice (COLPs) and Compliance Officers for Finance and Administration (COFAs) on regulatory responsibilities.

For full compliance guidance, see the SRA’s Responsibilities of COLPs and COFAs guidance.

Contact Us info@marlegal.co.uk

Key Areas of SRA Compliance

Our compliance consultancy covers critical areas such as:

Code of Conduct

Ensuring firms adhere to ethical guidelines and professional standards.

Financial Compliance

Helping firms manage client accounts and financial reporting obligations.

Data Protection (GDPR)

Implementing policies to safeguard client data in line with legal requirements.

Professional Indemnity Insurance

Advising on the right level of insurance coverage to meet SRA regulations.

Dealing with SRA Investigations and Interventions

If your firm is facing an SRA investigation, audit, or regulatory intervention, MAR Legal can provide clear, strategic guidance to help you respond with confidence. Our experienced legal compliance consultants work closely with firms to assess the issues raised, prepare robust responses to SRA inquiries, and represent your interests throughout the process.

We support law firms in identifying the root causes of compliance breaches, developing practical corrective action plans, and strengthening internal controls to prevent recurrence. Whether you’re under review for anti-money laundering (AML) failures, supervision concerns, or governance issues, we tailor our advice to your unique situation — helping you protect your firm’s reputation and satisfy regulatory expectations.


Ensuring a Smooth Compliance Process

Compliance doesn’t have to be complicated. With MAR Legal’s specialist expertise, your firm can meet SRA regulatory requirements confidently, without compromising on operational efficiency.

We take a tailored, hands-on approach to every client, understanding your firm’s structure, risk profile, and resource pressures. Our team delivers practical, actionable solutions that help you stay ahead of regulatory expectations — from developing compliant systems and processes to supporting your COLP and COFA in their day-to-day duties.

With MAR Legal as your compliance partner, you gain peace of mind that your firm is aligned with the latest SRA standards, while remaining agile and focused on delivering legal services.

Further Information on SRA Compliance

New Firm Authorisation Licensed Body Authorisation The SRA Transparency Rules

Contact Us for SRA Compliance Support

Whether you’re setting up a new practice or ensuring ongoing compliance, MAR Legal is here to help. Contact us today on 0161 491 3933 or email info@marlegal.co.uk for expert guidance on navigating SRA regulations and safeguarding your firm’s legal standing.

Contact Us info@marlegal.co.uk

FAQs About SRA Compliance

SRA compliance refers to meeting the regulatory requirements set by the Solicitors Regulation Authority (SRA). Every law firm and solicitor must follow these rules to ensure ethical practice, client protection, and professional accountability.

Maintaining law firm compliance with the SRA helps protect clients, safeguard firm reputation, and avoid disciplinary action. Non-compliance can result in fines, investigations, or even suspension.

An SRA compliance audit reviews a firm’s policies, procedures, and risk management systems. It ensures that everything from financial management to client care meets the SRA’s standards.

Effective SRA risk management involves creating clear compliance policies, training staff regularly, and carrying out ongoing risk assessments. Seeking professional guidance can also help identify gaps before they become regulatory breaches.

Yes. MAR Legal provides expert advice on SRA compliance, regulatory requirements, and compliance audits. We support firms with tailored strategies to ensure full compliance with SRA rules and ongoing risk management.