Law Firm Supervision: SRA and Lexcel Compliance Checklist for Governance, Risk, File Reviews and Training (England and Wales)

Published by a LexisNexis Practice Compliance expert

Checklists

This checklist helps you assess whether your firm has the systems needed to meet regulatory obligations for law firms, including SRA requirements, on supervision. It should be read alongside the subtopic: Supervision and file reviews...

Management and control

☐ Confirm your governance arrangements are appropriate to operate or direct a business delivering regulated legal services. See subtopics: SRA authorisation and approval and Governance structures. Compulsory — SRA Authorisation of Firms Rules, r 2.2. (Insert any comments you may wish to add regarding your firm’s arrangements)
☐ Ensure you have at least one manager or employee, or engage an individual, who is a lawyer of England and Wales with a minimum of three years’ practice, and who supervises the work undertaken by your firm. Compulsory — SRA Authorisation of Firms Rules, r 9.4. (Insert any comments you may wish to add regarding your firm’s arrangements)

Service and competence

☐ Put in place an effective system for supervising client matters. See Precedent: Supervision policy—law firms.

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Web page updated on 20/05/2026

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