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Legal Sector Compliance
Compliance failures in SRA-regulated firms carry career-ending consequences — from fines and strike-off to criminal liability. This course gives legal professionals a clear, practical understanding of their obligations under the SRA Standards and Regulations, AML law, and client money rules, so they can spot risk before it becomes a crisis.
3 modules, 9 lessons~40 minutes80% pass mark36 flipcards, 9 scenarios
CPD Aligned
This course provides general compliance education for SRA-regulated firms and does not constitute legal advice. Firms should consult their COLP, COFA, or external legal counsel for advice tailored to their specific circumstances and risk profile.
What you will learn
- Identify the core duties and obligations imposed by the SRA Standards and Regulations 2019 and the SRA Code of Conduct
- Apply anti-money laundering requirements under MLR 2017 and LSAG guidance, including client due diligence and risk assessment
- Explain the SRA Accounts Rules and the obligations governing receipt, handling, and return of client money
- Recognise and manage conflicts of interest and duties of confidentiality in day-to-day legal practice
- Describe the legal sector's obligations under UK financial sanctions regimes and how to screen clients and matters
- Determine when and how to report concerns internally and to the SRA, including understanding the role of COLP and COFA
Who is this for?
Solicitors, legal executives, paralegals, compliance officers, and non-fee-earning staff at SRA-regulated law firms in England and Wales
Course details
Duration~40 min
Modules3
Lessons9
Pass mark80%
CertificateYes
CPD Hours0.7
Jurisdiction
England and Wales — Solicitors Act 1974; Legal Services Act 2007; Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017; SRA Standards and Regulations 2019
Course Modules
1
Professional Standards and the SRA Framework
~13 minThe SRA Standards and Regulations 2019: Structure, Scope, and Core Duties
AudioVisualFlipcardsScenario
The SRA Code of Conduct: Behaviour, Competence, and the Duty to Act with Integrity
AudioVisualFlipcardsScenario
Confidentiality, Legal Privilege, and Managing Conflicts of Interest
AudioVisualFlipcardsScenario
Assessment - 5 questions
2
Anti-Money Laundering in the Legal Sector
~13 minMLR 2017 and LSAG Guidance: AML Obligations for Law Firms
AudioVisualFlipcardsScenario
Client Due Diligence, Enhanced Checks, and Matter Risk Assessment
AudioVisualFlipcardsScenario
Suspicious Activity Reports, Tipping Off, and the MLRO's Role
AudioVisualFlipcardsScenario
Assessment - 5 questions
3
Client Money, Sanctions, and Regulatory Reporting
~13 minThe SRA Accounts Rules: Receiving, Holding, and Returning Client Money
AudioVisualFlipcardsScenario
Financial Sanctions Compliance: Screening Clients, Matters, and Counterparties
AudioVisualFlipcardsScenario
Reporting to the SRA: COLP, COFA, Threshold Standards, and Whistleblowing
AudioVisualFlipcardsScenario
Assessment - 5 questions
Total Questions
15
Pass Mark
80%
Audio
9/9
Certificate
Yes
v1.0.0 | Updated 2026-07-02 | Sources verified 2026-07-02
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