Jurisdiction(s):
United Kingdom

General advice files: managing risk and compliance under the SRA Standards and Regulations, MLR 2017 and Accounts Rules (England and Wales)

Published by a LexisNexis Practice Compliance expert

Practice notes

Numerous legal practices rely on general advice files, or ‘general files’, to log (and charge for) assorted ad hoc guidance for longstanding clients. They are administratively straightforward and favoured by fee earners, as there is no requirement to open a fresh matter for minor queries, reducing time and paperwork and associated administrative burdens. The SRA Standards and Regulations do not forbid the use of general files. How you arrange your file administration remains a decision for the firm. Nevertheless, general files present risks and, where they are adopted, they ought to be handled cautiously indeed. This Practice Note examines risks arising from law firms’ use of general files and outlines methods by which a firm can mitigate, and control, those risks. A single general file may evolve into a storehouse for varied advice and communications, from a brief telephone query, or logistics for attending an event, through to something more significant in scope. Because the file is already in existence, fee earners can readily note time and invoice for guidance provided, yet vital risk management steps can just as easily be missed along the way. If your firm allows general files (and not all do), you will need to ensure...

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Beth Pipe , FCIPD

OnLive Learning

Beth is a Fellow of the Chartered Institute of Personnel and Development (FCIPD) and has spent over 25 years specialising in Learning and Development. During that time she has worked across a broad variety of different industries and has, for the past 15 years, worked closely with a number of well known law firms; this has involved putting in to place systems and structures to encourage, enable and track the effectiveness of learning activities. Adept at face to face course delivery, and always enjoying excellent feedback, Beth is also accomplished at online delivery and created OnLive Learning in response to the challenges presented by the 2020 Covid-19 restrictions.Beth has written extensively for LexisNexis on subjects such as Performance Management, Managing Change and Stress Management. Away from her training delivery she is a published author writing about local history, hiking, wildlife and the outdoors and is...

Web page updated on 21/05/2026

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