Why Beyond Compliance?
The minefield of regulation governing legal services delivery can be easy to get lost in; especially when you are trying to provide a high standard of service to your clients. Just working out which rules apply to which entity – whether operating as a regulated firm, self-employed barrister, chambers, training provider or ABS – can be very difficult to fathom. When there are different rules applying to different types of work; especially around the Transparency provisions , this can make negotiating your way through safely, extremely difficult.
The level of bureaucracy and ‘red tape’ can be very off-putting but given the potentially severe implications of regulatory breaches in the form of fines, disciplinary action or at the worst case: intervention, closure or prison, not taking compliance seriously is not an option.
The good news is that we can show you how compliance can actually improve your business so that your legal services businesses can go ‘Beyond Compliance’ and use the policies, procedures and systems to improve business, staff motivation, client retention and therefore profits.
The move by regulators to focus on self-regulation actually allows flexibility and innovation. Regulation will increasingly be one of the drivers of the legal services arena particularly with the increase in ‘lawtech’. How your business responds will determine your standing in the market.
Do you want your business to simply react to the regulatory regime or would you like to stay one step ahead of the game and use this flexibility and innovation to benefit your business? If so, Beyond Compliance can help you achieve this aim.
Compliance Health Check
With so much to focus on, it’s hard enough for legal businesses to keep on top of retaining and securing clients and carrying out your day to day roles; which we all know is ultimately protecting your clients in legal matters. Self-regulation has changed the game….
Compliance Documents
There are plenty of offerings out there for ‘off the shelf’ compliance documents or IT systems. However, there is a real danger with these as each legal business is different and does things in a different way. Indeed, the SRA have recently stated as much…
Compliance & File Auditing
Auditing is a key part of compliance and never has this been more important than with the drive towards self-regulation; the vague and subjective nature of the Standards and Regulations means that it is up to legal businesses to show…
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Our recent blog posts:
Authorities which did not say what they were said to say
This digest relates to cases published by the respective regulators during week ending 4 September 2026 which have sufficient detail..
A suspension for not doing CPD, and for saying that it had been done
This digest relates to cases published by the respective regulators during week ending 31 July 2026 which have sufficient detail..
An appeal about what competent service means
This digest relates to cases published by the respective regulators during week ending 28 August 2026 which have sufficient detail..
A private insurance claim, and how narrowly exceptional circumstances are drawn
This digest relates to cases published by the respective regulators during week ending 21 August 2026 which have sufficient detail..
Recording the family court
Breaches of confidentiality, personal data and discrimination rules, the use of unqualified individuals and dishonesty findings This digest relates to..
Accepting a role you know you are not equipped for
This digest relates to cases published by the respective regulators during week ending 11 August 2026 which have sufficient detail..
Three SDT judgments this week
When supervision fails, when a boundary is crossed, and whether inappropriate behaviour means misconduct This digest relates to cases published by..
A tribunal finding at the Bar: conflicts, advice and supervision
This digest relates to cases published by the respective regulators during week ending 17 July 2026 which have sufficient detail..
Competence Matters: Disciplinary Digest
This digest relates to cases published by the respective regulators during weeks ending 3 and 10 July 2026. Theme 1:..
Three days apart: what the SRA published, and what it left out
On 17 August 2026 the Solicitors Regulation Authority published a warning notice on the misuse of AI. Three days later,..
BSB regulatory expectation of chambers series: Associations
Associations – definition, practical risks and appropriate measures Earlier this year, the BSB introduced its Regulatory expectations of chambers webpage..
BSB regulatory expectation of chambers series: Due diligence obligations
BSB regulatory expectation of chambers series This is the first in a series of blogs in which I explore the..
The many routes into law – and the resulting problems
Ann Thanaraj, Chloe James, Jane Ching, Jonathan Bourne and Michaela Hardwick 2 December 2024 What do you get when you..
The ABC of wellbeing in the legal sector
Wellbeing is a very hot topic in the legal professions at the moment with calls for change coming from many..
Changes to the Legal Ombudsman’s Scheme timescales and the impact on your compliance obligations
On 1 April 2023, changes to the Legal Ombudsman’s Scheme Rules are due to go live. This is the first..
