Jurisdiction(s):
United Kingdom

Key definition

Compliance definition

What does Compliance mean? In legal practice, compliance describes the processes by which an organisation and its officers ensure adherence to applicable laws, regulatory requirements, licence conditions, professional rules, court orders and relevant industry codes. It is a descriptive expression rather than a single defined legal term, though specific regimes prescribe detailed obligations (for example, UK GDPR/Data Protection Act 2018 and, in Ireland, EU GDPR; anti-money laundering and counter-terrorist financing rules; and sectoral conduct requirements). Key features include identifying legal and regulatory obligations; implementing proportionate policies, controls and training; monitoring and record-keeping; regulatory notifications and reporting (including suspicious activity reports); and engagement with...

Giving and Receiving Undertakings in Conveyancing: Firm Policy, Authority Levels, Recording and Compliance (England and Wales)

Published by a LexisNexis Practice Compliance expert

Precedents

1 Policy statement

1.1 The policy of [ firm name ] (‘the firm’) is to conduct its affairs in accordance with the highest professional standards. We pledge to act professionally, fairly and with integrity in every business relationship and transaction. This document explains how we manage undertakings.

1.2 The purpose of this policy is to:

1.2.1 outline our duties, and those of individuals working for us, in observing and upholding our position on undertakings;
1.2.2 provide information and guidance on how to deal with undertakings.

2 Definitions

In this policy:

2.1 third party • means any individual or organisation you come into contact with during the course of your work with the firm—this includes actual and potential clients, other solicitors, suppliers, distributors, business contacts, agents, advisers, and government and public bodies including their advisers, representatives and officials, politicians, and political parties;
2.2 solicitor • means a person who has been admitted as a solicitor of the Senior Courts of England and Wales and whose name is on the roll.

3 Responsibilities

3.1 The compliance officer for legal practice (COLP) is responsible for this policy and for overseeing the firm’s undertakings arrangements...

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Web page updated on 22/05/2026

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