Authorisation and practising certificates
Confirm your SRA authorisation is current and all fee earners hold valid practising certificates for the current practising year.
SRA authorisation for your law firm
Check authorisation status and renewal requirements
Insurance and client accounts
Verify PII meets SRA Minimum Terms and Conditions and covers all current practice areas. If you hold client money, confirm reconciliations are up to date and the accountant's report deadline is diarised.
Professional indemnity insurance
Confirm cover meets SRA minimum terms for the current indemnity period
Client money and SRA Accounts Rules
Verify client account reconciliation and accountant's report status
AML, complaints, and price transparency
Check your firm-wide AML risk assessment is reviewed and current. Confirm your complaints procedure is published and clients are informed at engagement. Verify price transparency information is published on your website for all services required by the SRA Transparency Rules.
Annual compliance checklist for law firms
Full checklist covering AML, complaints, and transparency obligations
Annual declaration and breach reporting
Confirm your firm's annual declaration has been submitted through mySRA and that any serious breaches have been reported promptly. Review any material breaches logged since the last declaration and check that remedial actions are documented.
Annual compliance checklist
Covers the annual declaration and breach reporting obligations