We are delighted to announce the publication of three new compliance guides, all designed to assist the busy managing partner or anyone else who shares responsibility for the compliance programme within their firms. All of these three publications are produced in A4 hardback and are published by Professional Compliance Publishing on behalf of Infolegal Ltd.


Decoding the Codes of Conduct

Matthew Moore: ISBN 978-0-9933833-4-2

Several years in the planning, the SRA Standards and Regulations 2019 mark a significant step towards a new, simpler and more principles-based compliance regime. The new rulebook is significantly shorter than the Handbook which it replaces and is noticeably lacking in the guidance which has been a key feature of all such previous publications.

Key features of the changes include the replacement of the Handbook’s Code of Conduct with two codes – a “Code of Conduct for Solicitors, RELs and RFLs” and a separate “Code of Conduct for Firms”. The revised Accounts Rules are reduced in length to barely one-tenth of their former length and gone are many of the more complex requirements governing the formalities of legal practice. The requirements that will apply to the new forms of legal practice that will now be permitted – freelance advisers and solicitors working in-house at non-authorised organisations – are also addressed.

Shorter regulation does not necessarily mean less regulation, however, and difficult judgements may need to be made by when confronted with situations that were formerly, but are no longer, subject to specific requirements. In all such situations understanding the background to previous provisions no longer in force is bound to be helpful. In this new publication the directors of Infolegal, all of whom are legal regulatory specialists, comment on the new requirements that will now arise and explain what has gone before where it might throw light on what is now required.

Managing Cyber and Data Risks

Duncan Finlyson: ISBN 978-0-9933833-5-9

The importance of data security for a law firm cannot be overstated and it is vital that all firms take seriously their duties to safeguard the safety and confidentiality of the information of their clients, staff and third parties. Failure to attend properly to this core element of law firm management will not simply be a failure to meet the standards expected by the SRA but might even, in some extreme circumstances, amount to an existential threat to the firm itself.

The aim of this publication is to bring to the attention of legal practitioners some of the threats that they face in ensuring the integrity of their IT systems in order to safeguard their clients’ and their own business interests, and so meet their professional and data protection responsibilities.

Data Protection in Legal Practice

Duncan Finlyson and Matthew Moore: ISBN 978-0-9933833-6-6

It is now over a year on from the implementation of the GDPR and the Data Protection Act 2018.The new regime was preceded by widespread dire warnings as to the risks of non-compliance, much of it based on the increased penalties that the Information Commissioner’s Office would be able to impose. In this book we examine how law firms are coping with the new regime and provide practical guidance and precedents on what is now required by data protection law and the applicable professional obligations within the SRA regime.

Contentious issues covered include responding to data subject access requests, the contents of privacy notices, file archiving and when reports to the Information Commissioner’s Office will need to be made.