Regulatory Advice


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Regulatory Advice specialists

We receive instructions from a wide variety of law firms, from large firms through to sole practitioners :-

  • To support the firm’s compliance team - e.g. advice on the application of rules;
  • To provide Compliance Officer support;
  • As a form of insurance, whether the decision to be made is difficult or not;
  • For a legal opinion on whether the relevant facts are likely to be treated by the SRA as giving rise to a breach of rules; 
  • To ascertain what can be achieved within the rules and whether a rule can be waived; and
  • Advising on firm structure, start-ups, freelancers and practising from a non-SRA body.

Why instruct us?

We are SRA regulation specialists with many years of experience in the field. Robert Forman in our team is a co-author of The Solicitor's Handbook (editions 2022 and 2019) providing definitive commentary on the rules applicable to solicitors and law firms. Andrew Blatt is a contributor to the Handbook.

Regulatory compliance is a practical rather than theoretical exercise. Our experience in the professional discipline arena allows us to understand how to interpret rules and achieve compliance.

We’re in practice too, and understand that our advice needs to be to the point, and cost-effective. Our many years of experience enables us to achieve just that.

As an SRA regulated law firm ourselves, the advice you obtain from us is legally privileged.

What Regulatory Advice Do We Offer?

  • Compliance Officer obligations (COLPs and COFAs);
  • Compliance with the SRA Codes of Conduct 2019;
  • SRA Accounts Rules issues;
  • Compliance with other aspects of the SRA Standards and Regulations 2019 (and its predecessor rules);
  • Statutory requirements for law firms;
  • Separate/unregulated business and freelance rules;
  • Start-ups, orderly closures, disposals, and the transfer of clients;
  • Alternative Business Structures;
  • Client facing issues including dealing with LeO and client complaints;
  • Referral (and referral fee) arrangements; and
  • Other aspects of practice, e.g. solicitors’ undertakings.

What form does that advice take?

  • Written opinions;
  • Telephone/video conference support;
  • Conference at or away from your firm;
  • Compliance audit; and
  • Tailored on-site training.

Case Studies

  • We are instructed by both large and medium-sized firms across England & Wales requiring support for their COLP and compliance and risk teams on a rolling basis. We provide support, on discrete projects, issues, and investigations.
  • We were instructed by Legal Counsel of a top 20 firm of chartered accountants, which had established a separate SRA regulated arm. We provided clear advice on the steps required to achieve compliance with all regulations.
  • We were recently engaged by a senior partner at a magic circle firm to advise on a significant internal matter. Our advice led the firm and partner to resolve matters to their mutual satisfaction.
  • We provide written opinions on the successor practice rules sought in the matter of acquisitions and mergers.
  • We are instructed by sole practitioners requiring ongoing compliance and practice support.

If you want us on your team, e-mail or speak to Andrew Blatt on 07973 752498, Robert Forman on 07976 562236 or Nick Trevette on 07976 795014.