The Regulators We Assist Law Firms With

Trusted regulatory support for law firms facing investigations and compliance challenges. We help firms respond to regulator requests, prepare for audits, and train legal teams to prevent issues before they arise.

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Council for Licensed Conveyancers (CLC)

Support for conveyancing firms and licensed conveyancers regulated by the CLC. We assist with code of conduct investigations, compliance concerns, and licence queries, providing representation, regulatory response support, and tailored compliance gap analysis specific to conveyancing practice.

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Solicitors Regulation Authority (SRA)

Specialist support for law firms and solicitors dealing with SRA enquiries, investigations, audits, and enforcement action. We assist with preparing regulatory responses, managing interviews, addressing compliance concerns, and strengthening internal controls to align with the SRA Standards and Regulations.

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Information Commissioner’s Office (ICO)

Support for firms dealing with data protection issues, including ICO enquiries, investigations, data breaches, and information requests. We assist with GDPR compliance reviews, breach response handling, policy improvements, and strengthening overall data governance and privacy controls.

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HM Revenue & Customs (HMRC)

Practical support for firms facing HMRC compliance checks or investigations. We assist with reviewing records, resolving compliance issues, and improving internal processes relating to HMRC routine anti-money laundering inspections.

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How PDA Legal Supports Law Firms

We act quickly and practically when a firm faces regulatory scrutiny. Below are the key ways we help firms like yours stay compliant with regulatory expectations:

Immediate Regulatory Response: Preserve evidence, prepare a regulator-compliant response, and recommend next steps so you don’t make avoidable mistakes.
AML Risk Reviews & Tailored Training: Targeted AML risk assessments for your practice and role-specific training for fee-earners to close gaps and demonstrate proactive compliance.
Firm-Wide Risk Assessment Support: In-depth analysis of firm-wide risk assessments (FWRAs) to ensure practice-wide risks are properly documented and accounted for.
Compliance Audits & Gap Analysis: Full audits of policies, controls, and procedures (PCPs) with clear, prioritised remediation plans.
On-Site Support & Interviews: On-the-ground help ahead of regulator site visits and assisted interviews so your team is coached throughout the inspection process.
Post-Enforcement Monitoring & Assurance: Project-manage delivery of remedial actions and provide monitoring to rebuild regulatory confidence.

Discover All Our Services

“Changes to SRA, AML, and GDPR regulations have all come at once, and we have been very pleased to have someone to hold our hand through it all. Thank you, and look forward to seeing you again next month.”

– Recent client testimonial for our client management service

Our Approach to Long-Term Regulatory Compliance

At PDA Legal, we help law firms build robust compliance frameworks that improve governance and ensure you are always prepared for regulatory scrutiny. Our approach combines audits, consultancy, and targeted training across key regulatory areas:

Comprehensive Compliance Audits

We conduct thorough, role-specific audits across your firm to identify risks and gaps in:

AML (Anti-Money Laundering): Assessing client onboarding, ongoing monitoring, and record-keeping practices.
CQS (Client Quality Standards): Reviewing client service procedures to maintain professional standards.
Lexcel: Helping firms maintain or achieve Lexcel accreditation by ensuring best practice across policies, procedures, and file management.
GDPR: Evaluating data protection compliance, consent management, and information security controls.
Cyber Security: Identifying vulnerabilities, improving systems, and reducing exposure to digital threats.

Tailored Consultancy Services

Our consultants work closely with your team to:

Develop bespoke compliance policies and procedures aligned with your firm’s operations.
Advise on regulator expectations and new updates to existing guidance, including FCA and CLC requirements.
Provide actionable remediation plans after audits or incidents, prioritising steps for maximum impact.

Targeted Training Programs

We deliver practical training for all staff levels, ensuring your team understands their obligations and can confidently implement compliance measures.

Training areas include:

AML and CTF (Counter-Terrorist Financing) awareness
GDPR and data-handling best practices
Lexcel standards and CQS compliance
Cyber security awareness and risk management

Why Law Firms Choose PDA Legal

When a regulator makes contact or compliance gaps start to surface, you need more than general advice. You need specialists who know exactly what's at stake and how to protect your firm.

Protect Your Practice

Non-compliance carries real consequences: fines, enforcement action, loss of lender panel access, and reputational damage that's hard to recover from. With over 25 years working exclusively in the legal sector, we've helped more than 500 firms avoid these outcomes, not just prepare paperwork.

Respond With Confidence

Whether you're facing a CLC investigation, an FCA enquiry, or an SRA audit, we've seen it before. Our team has spoken at national Law Society events on regulatory compliance, and we bring that depth of knowledge to every firm we support, large or small, urgent or planned.

Maintain Compliance

Compliance isn't a one-off task. We build frameworks that keep your firm audit-ready year-round, so when a regulator does come knocking, you're prepared and not scrambling.

You Can Speak Freely With Us

Everything is handled in the strictest confidence, and wherever possible we work on fixed fees agreed upfront, so there are no billing surprises when you're already under pressure.

Ready to better protect your firm? Start with a free, no-obligation conversation with our team.

Get Expert Support With Regulatory Compliance

If your firm is facing regulatory scrutiny or you want to strengthen your compliance framework before issues arise, PDA Legal is here to help. Our specialists work with law firms across the UK to provide practical advice, regulatory defence, compliance audits, and targeted training.

Whether you need support preparing for an audit or tailored AML training for your team, we provide strategic support designed around your firm’s needs. Speak to our team today for a free, no-obligation consultation and find out how we can support your firm.

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FAQs

What should I do first if a regulator contacts my firm?

If your firm is contacted by a regulator, it’s important to remain calm and respond carefully. Preserve all relevant documents, make a note of key dates and communications, and avoid responding hastily without fully understanding the request.

Seeking specialist advice early can help you prepare an appropriate response and minimise the risk of further complications. PDA Legal can guide you through the process and help ensure your response is aligned with regulatory expectations.

Do you deliver AML training for fee-earners and support staff?

Yes. PDA Legal provides tailored AML training for both fee-earners and support staff. Sessions are designed to reflect the roles and responsibilities within your firm, covering areas such as Customer Due Diligence (CDD) and Politically Exposed Persons (PEPs). This ensures everyone in your organisation understands their responsibilities under current AML regulations.

Can you support individual solicitors or only firms?

We support both law firms and individual practitioners. Whether a firm requires help with regulatory compliance or an individual solicitor needs advice during a regulatory investigation, PDA Legal can provide tailored support to help navigate the regulatory process.

Does your team stay up-to-date with regulatory changes?

Yes, staying informed about regulatory developments is a core part of our work. We continually monitor updates from key organisations such as the FCA, as well as wider changes affecting legal sector compliance. This ensures our advice, training, and consultancy services reflect the latest regulatory expectations and best practices.

What happens if the CLC opens an investigation into my firm?

If the CLC opens an investigation, your firm will usually receive formal notification outlining the concerns and what information is required. This may include requests for files, policies, financial records, or explanations of conduct.

It’s important to respond carefully and within deadlines, as the CLC will assess both the issue itself and your firm’s cooperation. Early specialist support can help you manage risk and address any underlying compliance issues before they escalate.

Do I need a lawyer to respond to an SRA request?

You are not legally required to instruct a lawyer, but it is often strongly advisable, depending on the nature of the request from the SRA. SRA enquiries can lead to regulatory findings or disciplinary action if responses are incomplete or inaccurate.

Legal support can help ensure your response is properly structured and evidence-backed, reducing the risk of unintended admissions or further scrutiny.

When are the FCA taking over the UK’s AML oversight?

The FCA’s supervisory transition is not immediate and will be implemented in stages following further legislation and consultation. In the meantime, existing supervisors such as the SRA, CLC, and others remain responsible for AML oversight.