Live Webinar Day: Regulation and Compliance - Navigating SRA Expectations

As recent suspensions would indicate, whilst we have been obliged to ‘encourage’ equality, diversity and inclusion in our workplaces for years, the recent addition of Rule 1.5 into our Code of Conduct for Solicitors has upped the ante and requires us as firms to look out for the wellbeing of our staff too. Intoxication is no defence to improper advances at Christmas parties, please note.

How we should now be thinking? Is ‘eat what you kill’ the best approach to fee-earning, or should we be showing a modicum of humanity in our relations with our staff and team-mates?

Learning objectives:

• Rule 1.5 – no bullying of staff
• How do we treat our clients?
• How do we treat our staff?
• What is bullying?
• What must we do to improve our mental health provision for staff?

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What a minefield this topic is. Every time we blink something has changed, been updated or amended. Every day we have to be on the look out for what is happening to ensure that our firm and people stay compliant.

So, what if you could get your latest update in this area in just a one hour session? Well, that’s exactly what you can do today.

This session will cover the major changes and updates in the legislation and regulations and let you know what the supervisory bodies are up to and their latest releases in relation to AML and Sanctions compliance. It will cover changes that have been released recently and what we can expect in the near future.

This will be an informative session full of practical guidance to keep you and your firm up to date and compliant.

Learning objectives:

• What’s the most up to date information that we have on the FCA as a single regulator
• The new Money Laundering Regulations amendments – where are we up to and what the changes could mean for law firms
• The latest and most up to date guidance released by the SRA on sanctions and the sanctions regime
• The key updates and guidance from the SRA
• Useful information from other bodies
• News headlines!

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The SRA Accounts Rules were released in November 2019. Just thirteen rules replacing the previous fifty-two rules! Gone were, for example, the previous timescales and firms had more say in how they applied the rules.

Move on six years! Over the last year there has been so much happening in relation to law firms handling client money including a consultation from the SRA. Then in September last year the SRA said that things were on hold in relation to client money but they would pick it up again later this year. The Ministry of Justice is also involved with the topic of client interest and how some firms are using client interest to ‘prop up’ their firms.

So, where are we up to and what can we expect in the near future?

Learning objectives:

• The SRA Accounts Rules 2019 – a brief overview of the key rules
• Why the SRA conducted the consultation into the handling of client monies
• An update on the Accountants Reports position
• How Rule 2.5 of the SRA Accounts Rules, residual balances and client interest are all connected
• How much of the money in your client account shouldn’t be there – residual balances
• The MOJ and client interest – would your firm survive without client interest and how this affects the financial stability of your firm
• The role of the COFA in all of this
• What happens next

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As senior politicians and regulators are calling for the profession to be reminded of the ethical considerations that we need to bear in mind at all times, this webinar will be a reminder of the key principles that you may not have thought about since qualification.

In the aftermath of Axiom Ince, PM Group and the Post Office scandal, that reminder may well be timely.

Learning objectives:

• The basic ethical rules
• Costs, complaints, confidentiality and conflicts
• Undertakings – ‘lawyers will lie, but will not break a promise’
• The effect of AI on the legal environment
• TOWIE – doing the right thing when no-one is watching

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As changes in technology proceed at a seemingly relentless pace, law firms continue to be vulnerable to data protection and cyber security breaches. This session will set out the latest guidance from the SRA and will also look at the new requirement to have a data protection complaints procedure (with effect from 19^th June 2026)

Topics for discussion will include:

SRA expectations for 2026

Appropriate governance, systems and controls to ensure you are using technology responsibly.

• Appropriate leadership and oversight,
• Undertaking risk and impact assessments
• Creating policies and procedures
• Undertaking training and awareness
• Monitoring and evaluation impact of the technology to avoid unintended consequences.

Essential Security Controls

• Multi-factor authentication
• Encryption
• Patches
• Disaster recovery
• Using AI securely
• Examples of ICO enforcement action

Data Protection Complaints Procedure

• Ways in which complaints can be made
• Content of complaints procedure
• Acknowledgement of complaints
• Investigation of complaints
• Provision of outcomes to the data subject
• Records to be kept

Cyber Resilience Bill

• Impact on the legal profession
• Key requirements

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The day is designed for any firm that is regulated by the SRA, and those who have roles with direct responsibility for compliance, risk, and firm management.

All Levels – this can be picked up throughout anyone's professional career, regardless of experience.

You can book the entire day of webinars on this page. To book individual webinars, each session is priced at £69+VAT and you can use the following links. You can also add multiple of these to your basket: 

Equality, Diversity, Inclusion and Wellbeing (EDI&W) 2026
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AML and Sanctions Compliance – are you up to date?
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SRA Accounts Rules and Financial Stability
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Ethics & Professional Practice – what the SRA expects
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Technology and Cyber Security Update
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Each live webinar will run for 60 minutes and will contain a 45-minute presentation, and a 15-minute Q&A session where you can ask any questions you'd like. You can download your own copies of the presentation and resources from the day.

You will be able to actively listen to the course and ask questions to the speakers.

This full day will provide you with 5 hours of learning.

Attendees will receive a CPD certificate upon completion of this day. You must attend all x5 webinars to receive a CPD certificate for 5 hours. 

Your ticket includes access to all x5 webinars listed above. Each 60-minute LIVE webinar includes:-

• 45-minutes of topical content
• 15-minute interactive Q&A
• Comprehensive lecture notes
• Digital CPD certificate

Of course. To book multiple delegates, increase the amount of tickets you wish to buy and add them to your basket. Once your payment has been processed, you will then be asked to assign the tickets to the delegates attending. Each delegate will then receive an email with instructions on how to finalise their booking.

For group booking discounts please get in touch with us on team@formediagroup.co.uk.

You can now pay by invoice directly through our website.

1. Add your event tickets to your basket.
2. Click “Checkout.”
3. Select Pay by Invoice.
4. Enter your details and receive your invoice instantly by email (you can also view it on screen).

Once your invoice is paid, simply log into your account to assign tickets to your team. Your invoice will remain valid for 7 days. After that, any unpaid tickets will be automatically released.