SRA IT Requirements for Solicitors: Complete Compliance Checklist 2026

Understanding SRA IT requirements for solicitors isn’t optional, it’s a fundamental compliance obligation that protects your practice, your clients, and your career. Yet many solicitor practices across the UK struggle to interpret what the Solicitors Regulation Authority actually requires when it comes to technology, information security, and data protection.

The consequences of getting it wrong are severe. SRA interventions, client compensation claims, cyber insurance invalidation, and reputational damage can result from non-compliant IT systems. In 2025 alone, the SRA received over 2,300 reports of data breaches and cyber security incidents affecting solicitor practices, many of which could have been prevented with proper IT compliance.

This comprehensive guide explains exactly what the SRA expects from your IT systems in 2026, providing a detailed compliance checklist you can use to assess your practice immediately. Whether you’re a sole practitioner in Chichester or a 50-person firm in Worthing, these requirements apply to you.

What you’ll discover:

• The 10 essential SRA IT requirements every solicitor must meet
• A detailed compliance checklist to audit your current systems
• Common IT compliance mistakes that trigger SRA intervention
• How to achieve and maintain ongoing compliance
• Cost-effective ways to implement compliant IT infrastructure
• Where to get expert help with SRA technology requirements

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Table of Contents

1. Understanding SRA Technology Requirements
2. Why SRA IT Compliance Matters
3. The 10 Essential SRA IT Requirements
4. SRA IT Compliance Checklist
5. Common SRA IT Compliance Mistakes
6. Technology Standards for Different Practice Areas
7. How to Achieve SRA IT Compliance
8. Cost of Non-Compliance vs Investment in Compliance
9. Choosing SRA-Compliant IT Support
10. Getting Started with Compliance

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Understanding SRA Technology Requirements

The SRA IT requirements for solicitors aren’t contained in a single document titled “IT Requirements.” Instead, they’re woven throughout the SRA Standards and Regulations, the SRA Code of Conduct, and various guidance documents. This can make compliance feel complex, but the underlying principles are clear.

Where IT Compliance Sits in SRA Standards

The SRA Standards and Regulations 2019 (which came into force in November 2019 and have been updated since) set out the fundamental obligations that affect your IT systems:

Key relevant standards:

Principle 2: Acting with integrity

• Your IT systems must maintain the integrity of client data
• No unauthorised access or disclosure
• Secure handling of confidential information

Principle 4: Acting in the best interests of each client

• Technology that protects client confidentiality
• Systems that safeguard client money and assets
• Business continuity to serve clients even during disruption

Principle 5: Providing a proper standard of service

• Competent use of technology
• Systems that support effective case management
• Technology that doesn’t compromise service delivery

Principle 7: Running the business effectively

• Effective information governance
• Business continuity planning
• Risk management including cyber security

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The SRA Code of Conduct IT Implications

Paragraph 6.3 states you must ensure that your systems and controls:

• Keep client money and assets safe
• Account for all client money
• Maintain effective governance structures

Paragraph 8.1 requires you to:

• Protect client information and confidentiality
• Maintain proper systems for this protection

These aren’t suggestions, they’re mandatory obligations.

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Recent SRA Guidance Updates (2024-2026)

The SRA has increasingly focused on technology and cyber security:

November 2024: Updated guidance on cyber security risk management
March 2025: Enhanced requirements for cloud service providers
September 2025: Specific guidance on AI use in legal practices
January 2026: Current standards for remote working security

The trend is clear: The SRA expects solicitors to maintain robust, current technology security measures. “We’re a small firm” or “we don’t have the budget” aren’t accepted excuses for non-compliance.

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Why IT Compliance is Non-Negotiable

Legal obligations:

• SRA Standards and Regulations (mandatory)
• Data Protection Act 2018 (criminal offences for breaches)
• GDPR (significant fines possible)
• Common law duties of confidentiality

Professional obligations:

• Duty to clients (protect their interests)
• Duty to the profession (maintain standards)
• Duty to the court (secure case materials)

Practical obligations:

• Cyber insurance requirements (many policies require compliance)
• Client expectations (professional security standards)
• Third-party requirements (banks, HM Land Registry, etc.)

An SRA intervention due to IT failures can:

• Close your practice immediately
• Cost £50,000-£500,000+ to resolve
• End careers
• Result in personal liability

IT compliance isn’t an optional extra, it’s fundamental to lawful practice.

Learn about specialist IT support for solicitors in West Sussex

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Why SRA IT Compliance Matters

Before diving into specific requirements, understanding the real-world consequences of non-compliance provides essential context.

Real Consequences of IT Non-Compliance

SRA Interventions:

In 2024-2025, the SRA intervened in 47 practices specifically citing IT security failures as a primary or contributing factor. Common triggers included:

• Client data breaches due to inadequate security
• Ransomware attacks that compromised client files
• Loss of client money due to email compromise
• Inability to account for client funds after system failures
• Inadequate backup leading to permanent data loss

Once the SRA intervenes:

• Your practising certificate can be suspended immediately
• An intervention agent takes control of your practice
• All client files are frozen pending security audit
• Costs typically £50,000-£200,000 paid from practice assets
• Your reputation in the legal community is severely damaged
• Clients move to other firms
• Staff lose jobs
• Years of building your practice can be destroyed in days

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Client Claims and Compensation

Scenario: A conveyancing practice suffered a ransomware attack that encrypted all active case files three days before scheduled completions. Inadequate backups meant files were unrecoverable.

Result:

• 23 transactions collapsed
• Clients suffered financial losses (lost deposits, bridging loans, moving costs)
• Professional indemnity claims totalled £340,000
• Practice closed within 6 months
• Three partners faced disciplinary proceedings

The IT failure that caused this? Not implementing the basic SRA requirement for secure, tested backups.

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Cyber Insurance Implications

Most solicitor cyber insurance policies contain specific requirements around IT security. If you suffer a cyber attack and your IT systems don’t meet these standards, your claim can be denied.

Common policy requirements:

• Multi-factor authentication on all systems
• Regular software updates and patches
• Encryption of sensitive data
• Regular tested backups
• Security awareness training for staff
• Incident response plan

If you’ve been paying £3,000-£8,000/year for cyber insurance but aren’t compliant with these requirements, your coverage may be worthless when you need it most.

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Reputational and Commercial Impact

Beyond regulatory consequences:

Client confidence: Once word spreads that your practice suffered a data breach, clients worry:

• “Is my information safe?”
• “Should I move to another firm?”
• “Can I trust them with sensitive matters?”

Referral relationships: Other solicitors, accountants, and IFAs who refer work to you reconsider:

• “I can’t risk my clients with a firm that has security issues”
• Professional referral networks close

Recruitment and retention: Good solicitors and staff want to work for professionally run practices:

• “If they can’t get IT security right, what else is wrong?”
• Difficulty attracting quality team members

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Personal Liability for Partners

Directors and partners can face personal consequences:

SRA disciplinary action:

• Fines
• Conditions on practising certificates
• Suspension
• Strike off (career ending)

Personal liability:

• Data Protection Act criminal offences (up to £5,000 fine, unlimited for directors)
• GDPR fines (whilst typically organisational, directors can face prosecution)
• Professional negligence claims

Insurance doesn’t always cover these personal liabilities, particularly if deliberate non-compliance is proven.

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The Bottom Line

Achieving SRA IT compliance isn’t about ticking boxes, it’s about:

• Protecting your clients’ interests (your fundamental duty)
• Safeguarding your practice from catastrophic failure
• Ensuring business continuity
• Maintaining your professional reputation
• Meeting your legal and regulatory obligations
• Sleeping soundly knowing your systems are secure

The investment in proper IT compliance (typically £5,000-£15,000/year for a small-medium practice) is trivial compared to the cost of getting it wrong (£50,000-£500,000+ plus potential practice closure).

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The 10 Essential SRA IT Requirements for Solicitors

Let’s break down the SRA IT requirements for solicitors into 10 specific, actionable areas. Each requirement links directly to SRA obligations and includes practical implementation guidance.

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1. Client Confidentiality & Data Protection

SRA Obligation: Code of Conduct Para 6.3, 6.4, 8.1 – Protect client information and maintain confidentiality

What the SRA expects:

Your IT systems must ensure client information remains confidential and is protected from unauthorised access, disclosure, or loss.

Specific requirements:

Encryption of sensitive data:

• Client files stored on servers or cloud: Encrypted at rest (AES-256 minimum)
• Data in transit: TLS 1.2 or higher for all client data transmission
• Laptops and mobile devices: Full disk encryption enabled
• USB drives containing client data: Hardware encrypted or BitLocker protected
• Email containing client information: Encrypted (Microsoft 365 Message Encryption or equivalent)

Access controls:

• Role-based access (conveyancers don’t need access to litigation files)
• Principle of least privilege (staff only access what they need)
• Strong passwords (minimum 12 characters, complexity requirements)
• Regular access reviews (quarterly minimum)
• Immediate access revocation when staff leave

Physical security:

• Server rooms locked and access controlled
• Screens positioned away from public view
• Clean desk policy for sensitive documents
• Visitor access supervised
• Device security cables for laptops in public-facing areas

Document management:

• Case management system with audit trails
• Version control for documents
• Secure client portals for document exchange (not unencrypted email)
• Automatic logout after inactivity

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Implementation checklist:

•  All servers and cloud storage use AES-256 encryption
•  All laptops have BitLocker or equivalent enabled
•  Email encryption system implemented
•  Access controls configured by role
•  Password policy enforces 12+ character complexity
•  Quarterly access reviews scheduled
•  Physical security measures in place
•  Secure client portal deployed

Common failure points:

• ❌ Using unencrypted email for client communications
• ❌ No encryption on staff laptops (“we work in the office”)
• ❌ Everyone has access to everything (no role-based controls)
• ❌ Weak passwords allowed (Password123, Summer2026)
• ❌ Former staff still have system access months after leaving

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2. Information Security Management

SRA Obligation: Principle 7 – Running the business effectively with proper governance and risk management

What the SRA expects:

A structured approach to information security with documented policies, regular risk assessments, and assigned responsibilities.

Specific requirements:

Written information security policy:

• Document covering all aspects of information security
• Approved by partners/directors
• Reviewed annually
• Communicated to all staff
• Included in staff onboarding

Risk assessment:

• Annual information security risk assessment
• Identify threats (cyber attacks, data breaches, system failures)
• Assess likelihood and impact
• Implement mitigation measures
• Document decisions and rationale

Assigned responsibility:

• Named person responsible for information security (partner/director level)
• IT security not “someone else’s problem”
• Clear escalation procedures
• Board/partner reporting on security matters

Security awareness training:

• Mandatory training for all staff (including partners)
• Annual refresher training
• Phishing simulation exercises
• Specific training for high-risk roles (accounts, IT access)
• Training records maintained

Incident response plan:

• Written procedure for security incidents
• Clear roles and responsibilities
• SRA reporting obligations understood
• Practice run-throughs annually
• Contact details for emergency IT support

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Implementation checklist:

•  Information security policy written and approved
•  Annual risk assessment completed
•  Partner/director assigned responsibility
•  All staff completed security training (records kept)
•  Incident response plan documented
•  Incident response tested in last 12 months
•  Security matters regularly reported to partners

Common failure points:

• ❌ No written security policy (“we just use common sense”)
• ❌ No formal risk assessment conducted
• ❌ “IT is the IT person’s problem” (no partner oversight)
• ❌ No staff training on security
• ❌ No plan for responding to cyber attacks

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3. Cyber Security Measures

SRA Obligation: Principle 7 – Effective risk management including cyber security

What the SRA expects:

Technical security controls that protect against current cyber threats, regularly updated to address emerging risks.

Specific requirements:

Firewall protection:

• Enterprise-grade firewall (not consumer router)
• Configured to block malicious traffic
• Regular firmware updates
• Logging enabled for security monitoring
• Regular rule reviews

Antivirus and anti-malware:

• Enterprise endpoint protection on all devices
• Real-time scanning enabled
• Automatic updates
• Centrally managed (not individual installations)
• Regular scans scheduled

Multi-factor authentication (MFA):

• MFA required for all email access
• MFA required for case management systems
• MFA required for remote access
• MFA required for financial systems
• MFA required for administrative accounts

Email security:

• Advanced spam filtering
• Malware scanning
• Phishing protection
• Sender verification (SPF, DKIM, DMARC)
• Email encryption capability

Patch management:

• Operating system updates applied within 30 days
• Critical security patches applied within 7 days
• Application updates managed
• Firmware updates for network devices
• Testing process for updates

Vulnerability management:

• Regular vulnerability scans
• Penetration testing annually (for larger firms)
• Remediation of identified vulnerabilities
• Third-party security assessments

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Implementation checklist:

•  Enterprise firewall installed and configured
•  Endpoint protection on all devices
•  MFA enabled for all systems
•  Email security advanced protection active
•  Patch management process documented
•  Updates applied within required timeframes
•  Last vulnerability assessment: [Date]

Common failure points:

• ❌ Consumer-grade router as only firewall
• ❌ Free antivirus on some machines, none on others
• ❌ No MFA (“it’s annoying”)
• ❌ Basic email filtering only
• ❌ Updates applied “when we remember”
• ❌ Never conducted security assessment

Cyber Essentials Certification:

Many cyber insurance policies and government contracts require Cyber Essentials certification. This certification demonstrates you meet baseline security standards and aligns closely with SRA expectations.

Learn about Cyber Essentials for solicitors

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4. Data Backup & Business Continuity

SRA Obligation: Principle 4 – Acting in best interests of clients; Principle 7 – Effective business management

What the SRA expects:

Reliable backup systems that ensure client data is never lost and you can continue serving clients even after system failures or disasters.

Specific requirements:

Backup frequency:

• Case management data: Daily backups minimum
• Financial records: Daily backups minimum
• Email: Continuous backup or daily
• Documents: Daily incremental, weekly full backup
• System configurations: Monthly minimum

Backup locations:

• 3-2-1 rule: 3 copies, 2 different media types, 1 offsite
• Primary backup: On-site or same data centre
• Secondary backup: Offsite or different cloud region
• Geographic separation (not all backups in same location)

Backup testing:

• Monthly test restores of sample files
• Quarterly full restore test
• Annual disaster recovery simulation
• Test results documented
• Issues identified and resolved

Retention periods:

• Client files: Minimum 7 years (often longer for specific matters)
• Financial records: 7 years minimum
• Email: Consider longer retention for evidence
• Compliance with GDPR and SRA guidance

Recovery objectives:

• Recovery Time Objective (RTO): How quickly can you restore? Target: 24 hours maximum
• Recovery Point Objective (RPO): How much data can you lose? Target: 24 hours maximum
• Document and test these objectives

Business continuity planning:

• Written business continuity plan
• Alternative working arrangements identified
• Key contact details (staff, suppliers, clients)
• Communication plan for disruptions
• Regular plan reviews and testing

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Implementation checklist:

•  Daily backups configured and running
•  Offsite/cloud backup active
•  Backup tested in last 30 days
•  Full restore test in last 90 days
•  Backup retention meets requirements
•  RTO and RPO documented
•  Business continuity plan written
•  BC plan tested in last 12 months

Common failure points:

• ❌ Backups configured but not monitored (failing silently)
• ❌ All backups in same location (fire/flood destroys all copies)
• ❌ Never tested backups (discover failures when needed)
• ❌ Insufficient retention period
• ❌ No business continuity plan
• ❌ RTO/RPO undefined or untested

Real-world scenario:

A litigation practice suffered a ransomware attack encrypting all files. They had backups, but hadn’t tested them. When they tried to restore:

• Backup system had been failing for 3 months (unnoticed)
• Last successful backup was 93 days old
• Most recent cases had no backups
• Resulted in SRA intervention and practice closure

Testing isn’t optional, it’s the difference between inconvenience and catastrophe.

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5. Access Control & User Management

SRA Obligation: Code of Conduct Para 6.3, 8.1 – Protecting client information through proper systems

What the SRA expects:

Controlled access to information systems ensuring only authorised individuals can access client data, with full audit trails of access.

Specific requirements:

User account management:

• Unique user account for each staff member (no shared logins)
• Standard user accounts for day-to-day work
• Administrator accounts only for IT tasks
• Guest accounts for temporary contractors
• Account lifecycle management (creation, modification, deletion)

Access provisioning:

• Role-based access control (RBAC)
• New starter access based on job role
• Approval process for access requests
• Principle of least privilege (minimum necessary access)
• Regular access reviews and recertification

Password policies:

• Minimum 12 characters (14+ recommended)
• Complexity requirements (upper, lower, numbers, symbols)
• No common passwords (Password123, practice name, etc.)
• No password reuse
• Password changes when compromised
• Password manager encouraged

Account security:

• Account lockout after failed login attempts
• Automatic timeout after inactivity
• Privileged access management for admin accounts
• Just-in-time access for temporary elevated privileges
• All administrative actions logged

Leavers process:

• Immediate account deactivation on resignation/termination
• Access removed same day
• Equipment returned and wiped
• Knowledge transfer completed
• Exit checklist signed off

Audit and monitoring:

• Access logs maintained
• Regular log reviews
• Alerts for suspicious activity
• Annual access audits
• Compliance reporting

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Implementation checklist:

•  Each staff member has unique account
•  Role-based access configured
•  Password policy enforces 12+ characters
•  Account lockout configured (5 attempts)
•  Automatic timeout set (15 minutes)
•  Leavers process documented
•  Access audit completed in last 90 days
•  Access logs reviewed monthly

Common failure points:

• ❌ Shared “reception” or “assistant” accounts
• ❌ Everyone has admin rights
• ❌ Weak passwords allowed
• ❌ Ex-staff accounts still active
• ❌ No access reviews conducted
• ❌ No monitoring of who accessed what

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6. Secure Communications

SRA Obligation: Code of Conduct Para 6.4, 8.1 – Protecting confidential client information

What the SRA expects:

Secure methods for communicating confidential information with clients and third parties, with appropriate encryption and protection.

Specific requirements:

Email security:

• Encryption for emails containing sensitive client data
• Microsoft 365 Message Encryption, Egress, or equivalent
• Secure email warnings (“This email contains confidential information”)
• Training for staff on when to encrypt
• Client education on secure email practices

Client portals:

• Secure online portal for document exchange
• Stronger than email for sensitive documents
• Encryption in transit and at rest
• MFA for client access
• Audit trails of document access

Document transmission:

• Avoid unencrypted email for sensitive documents
• Password-protected PDFs (not secure, but better than nothing)
• File sharing services with encryption (not Dropbox personal)
• Registered post for physical documents
• Secure courier services where appropriate

Video conferencing:

• Business-grade platforms (Microsoft Teams, Zoom Business)
• Waiting rooms enabled
• Passwords for sensitive meetings
• Recording policies clear
• Compliance with legal professional privilege

Mobile communications:

• Work mobile phones for client communications
• Personal phone use policies
• Encrypted messaging (Signal, WhatsApp Business)
• No SMS for sensitive information
• Mobile device management

Third-party communications:

• Secure file transfer for HM Land Registry
• Encrypted channels for financial institutions
• Verified recipient confirmation
• Communication encryption requirements in contracts

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Implementation checklist:

•  Email encryption system available
•  Staff trained on when to use encryption
•  Secure client portal deployed
•  Video conferencing security configured
•  Mobile device policy documented
•  Third-party communication channels secure
•  Client guidance on secure communications provided

Common failure points:

• ❌ Sending unencrypted emails with client data
• ❌ No client portal (relying on email only)
• ❌ Using personal email accounts
• ❌ Unsecured video meetings
• ❌ Staff using personal phones/WhatsApp
• ❌ No verification of recipient before sending

SRA guidance is clear: Unencrypted email should not be used for highly sensitive information. If you’re emailing unredacted identity documents, financial information, or confidential legal advice, you need encryption or a secure portal.

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7. GDPR Compliance for Client Data

SRA Obligation: Data Protection Act 2018, GDPR, SRA Standards (client information protection)

What the SRA expects:

Full compliance with data protection legislation, which overlaps significantly with SRA obligations on protecting client information.

Specific requirements:

Lawful basis for processing:

• Document lawful basis for processing client data (typically contract or legitimate interests)
• Privacy notices for clients
• Consent mechanisms where required
• Records of processing activities (ROPA)

Data retention and disposal:

• Retention policy documented (typically 7 years+)
• Secure disposal when retention expires
• Shredding or secure digital deletion
• Disposal records maintained
• Client requests for deletion handled

Data subject rights:

• Process for Subject Access Requests (SAR)
• Response within 30 days
• Verification of requestor identity
• Redaction of third-party information
• Exemptions understood (legal professional privilege)

Data Protection Impact Assessments:

• DPIA for high-risk processing
• New systems assessed for privacy impact
• Third-party data sharing reviewed
• Cloud service providers assessed

Breach notification:

• Data breach detection procedures
• Assessment of breach severity
• ICO notification within 72 hours (if required)
• Client notification (if high risk)
• Breach register maintained

Third-party processors:

• Data Processing Agreements with all processors
• Due diligence on processor security
• Regular reviews of processor compliance
• Processor breach notification obligations

Data Protection Officer (if required):

• Larger practices may need DPO
• DPO responsibilities understood
• Contact details published

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Implementation checklist:

•  Privacy notice on website and provided to clients
•  Retention policy documented
•  SAR process documented and tested
•  Data Processing Agreements with all suppliers
•  Breach notification procedure documented
•  Staff trained on GDPR obligations
•  Records of Processing Activities maintained

Common failure points:

• ❌ No privacy notice
• ❌ Keeping client data indefinitely
• ❌ No process for SARs
• ❌ No Data Processing Agreements with IT suppliers
• ❌ Data breaches not reported
• ❌ Staff don’t understand GDPR

Important: The ICO (Information Commissioner’s Office) can fine organisations up to £17.5 million or 4% of turnover (whichever is higher) for serious GDPR breaches. Solicitor practices aren’t exempt.

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8. Case Management System Security

SRA Obligation: Principle 7 – Effective business management with proper systems

What the SRA expects:

Your practice management software must be secure, reliable, and protect client confidentiality whilst enabling effective case management.

Specific requirements:

System selection:

• Legal sector-specific software (not generic CRM)
• Hosted by reputable provider OR secure self-hosted
• Regular security updates from vendor
• Vendor financial stability (won’t disappear)
• ISO 27001 or equivalent certification

Access security:

• Role-based access within system
• Matter-level permissions (Chinese walls)
• Audit trails of all access
• Cannot disable logging
• Regular access reviews

Data protection:

• Encryption at rest
• Encryption in transit
• Backup included in service (if cloud)
• UK/EU data storage (GDPR compliance)
• Data Processing Agreement with vendor

Integration security:

• Secure APIs for integrations
• Accounting software integration secure
• Document management integration
• Email integration secure
• Third-party plugin assessment

Business continuity:

• Service Level Agreement (SLA) with uptime guarantees
• Disaster recovery capabilities
• Data export capabilities (not locked in)
• Support availability and response times

Financial controls:

• SRA Accounts Rules compliance
• Client money protection
• Reconciliation capabilities
• Audit trail of all transactions
• Cannot delete or alter historical transactions

Popular systems for UK solicitors:

• Practice Evolve
• Proclaim
• Legal Suite
• Osprey Approach
• LEAP
• ActionStep

(These systems, when properly configured and used within secure infrastructure, can meet SRA requirements)

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Implementation checklist:

•  Case management system from reputable vendor
•  System configured with role-based access
•  Audit logging enabled and cannot be disabled
•  Data Processing Agreement with vendor
•  Regular backups confirmed
•  SLA in place with acceptable terms
•  Financial controls meet Accounts Rules
•  Staff trained on security features

Common failure points:

• ❌ Using unsupported legacy software
• ❌ Everyone has full system access
• ❌ Audit logs not enabled or not reviewed
• ❌ No DPA with case management provider
• ❌ No backups (relying entirely on cloud vendor)
• ❌ Inadequate financial controls

Cloud vs. On-Premise:

Both can be SRA-compliant when properly implemented:

Cloud (SaaS):

• ✅ Vendor handles infrastructure security
• ✅ Automatic updates
• ✅ Scalability
• ⚠️ Must verify vendor security (ISO 27001, SOC 2)
• ⚠️ Data Processing Agreement essential
• ⚠️ Data location matters (UK/EU preferred)

On-Premise:

• ✅ Full control over security
• ✅ Data stays in your premises
• ⚠️ You’re responsible for all security measures
• ⚠️ Requires expertise and resources
• ⚠️ Higher upfront cost

Most small-medium practices choose cloud for cost and simplicity, provided due diligence on vendor security is completed.

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9. Mobile Device & Remote Working Security

SRA Obligation: Code of Conduct Para 6.3, 8.1 – Protecting client information regardless of location

What the SRA expects:

Secure remote working arrangements that maintain the same level of client confidentiality protection as office-based work.

Specific requirements:

Device security:

• Company-owned devices preferred (BYOD higher risk)
• Full disk encryption on all laptops
• Mobile device management (MDM) for phones/tablets
• Anti-theft software (tracking, remote wipe)
• Automatic screen lock (5 minutes maximum)
• Physical security (never leave unattended)

Remote access security:

• VPN for remote office system access
• MFA for all remote access
• No public WiFi without VPN
• Home network security guidance
• Remote Desktop Protocol (RDP) secured or disabled

BYOD (Bring Your Own Device) policy:

• Written BYOD policy if permitted
• Containerisation of work data
• Ability to remote wipe work data only
• Acceptable use policy
• Staff consent for monitoring/wiping

Home working environment:

• Private workspace requirement
• No family/friends seeing client data
• Secure storage of physical files
• Shredding facilities for documents
• Clear desk policy

Public working restrictions:

• Policy on working in public spaces
• Privacy screens for laptops
• No confidential calls in public
• WiFi security awareness
• Physical document handling

Lost/stolen device procedure:

• Immediate reporting requirement
• IT team remote wipes device
• Password changes enforced
• Incident investigation
• Client notification if data at risk

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Implementation checklist:

•  All laptops have full disk encryption
•  Mobile device management implemented
•  VPN configured and mandatory for remote access
•  MFA required for remote access
•  BYOD policy documented (or BYOD prohibited)
•  Home working security guidance provided
•  Lost device procedure documented
•  Staff trained on remote working security

Common failure points:

• ❌ No encryption on staff laptops
• ❌ Staff using personal devices with no controls
• ❌ No VPN (direct internet access to systems)
• ❌ No MFA for remote access
• ❌ Staff working on trains/cafes with sensitive data visible
• ❌ No policy on home working security
• ❌ No procedure for lost/stolen devices

COVID-19 legacy:

The pandemic forced rapid remote working adoption. Many practices implemented temporary solutions that became permanent without proper security review. Now is the time to formalise and secure these arrangements.

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10. Cyber Insurance Requirements

SRA Obligation: Principle 7 – Effective risk management; Financial prudence

What the SRA expects:

Whilst not explicitly mandated by the SRA, cyber insurance is increasingly essential for prudent risk management. However, having a policy isn’t enough, you must meet the policy requirements.

Specific requirements:

Policy coverage understanding:

• Data breach response costs
• Business interruption coverage
• Cyber extortion (ransomware)
• Forensic investigation costs
• Legal fees and client notification
• Regulatory fines (where insurable)
• Reputational damage mitigation

Policy compliance requirements:

• MFA implementation
• Regular backups
• Security patch management
• Security awareness training
• Incident response plan
• Vendor due diligence

Due diligence at renewal:

• Accurate declaration of security measures
• Update insurers on changes
• Disclose any incidents
• Review coverage limits
• Understand exclusions

Claims procedures:

• Know how to report incidents
• Preserve evidence
• Follow insurer procedures
• Breach coach/legal support
• Documentation requirements

Continuous compliance:

• Maintain required security measures
• Document compliance for claims
• Regular security attestations
• Don’t let standards slip after purchase

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Implementation checklist:

•  Cyber insurance policy in place
•  Policy requirements fully understood
•  All policy requirements currently met
•  Compliance evidence documented
•  Claims procedure documented
•  Key contacts identified
•  Policy reviewed annually
•  Coverage adequate for practice size

Common failure points:

• ❌ No cyber insurance
• ❌ Policy purchased but requirements not met
• ❌ Requirements met at purchase but not maintained
• ❌ Inaccurate declarations at renewal
• ❌ Inadequate coverage limits
• ❌ Not understanding what’s covered/excluded

Important: If you suffer a cyber attack and your claim is denied because you didn’t meet policy requirements (e.g., no MFA despite policy requiring it), you’ll face the full financial impact with no insurance support. This can be practice-ending.

Typical cyber insurance costs for solicitors:

• 5-10 users: £1,500-£3,000/year
• 11-25 users: £3,000-£6,000/year
• 26-50 users: £6,000-£12,000/year

(Costs vary significantly based on practice area, claims history, and security measures)

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SRA IT Compliance Checklist

Use this comprehensive checklist to audit your practice’s current compliance status. Rate each item as:

✅ GREEN: Fully compliant
⚠️ AMBER: Partially compliant, improvement needed
❌ RED: Non-compliant, immediate action required

Client Confidentiality & Data Protection

Requirement	Status	Notes
Client data encrypted at rest (servers/cloud)	__
Laptops have full disk encryption enabled	__
Email encryption available and used	__
Role-based access controls configured	__
Password policy enforces 12+ characters	__
Access reviews conducted quarterly	__
Secure client portal for document exchange	__
Physical security measures in place	__

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Information Security Management

Requirement	Status	Notes
Written information security policy exists	__
Annual risk assessment completed	__
Partner/director assigned security responsibility	__
All staff completed security training (last 12 months)	__
Incident response plan documented	__
Incident response tested (last 12 months)	__
Security reported to partners/board regularly	__

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Cyber Security Measures

Requirement	Status	Notes
Enterprise firewall installed and configured	__
Endpoint protection on all devices	__
MFA enabled for email	__
MFA enabled for case management system	__
MFA enabled for remote access	__
Advanced email security (anti-phishing)	__
Patch management process documented	__
Updates applied within required timeframes	__
Vulnerability assessment (last 12 months)	__

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Data Backup & Business Continuity

Requirement	Status	Notes
Daily backups of case management data	__
Offsite/cloud backup configured	__
Backup tested (last 30 days)	__
Full restore test (last 90 days)	__
Backup retention meets 7-year requirement	__
RTO and RPO defined and tested	__
Business continuity plan written	__
BC plan tested (last 12 months)	__

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Access Control & User Management

Requirement	Status	Notes
Each staff member has unique account	__
No shared logins in use	__
Role-based access configured	__
Password policy enforces complexity	__
Account lockout after failed attempts	__
Automatic timeout after inactivity	__
Leavers process documented and followed	__
Access audit (last 90 days)	__

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Secure Communications

Requirement	Status	Notes
Email encryption system available	__
Staff trained on when to encrypt	__
Secure client portal deployed	__
Video conferencing security configured	__
Mobile device use policy documented	__
Third-party communications secure	__

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GDPR Compliance

Requirement	Status	Notes
Privacy notice published and provided	__
Retention policy documented	__
SAR process documented	__
Data Processing Agreements with all suppliers	__
Breach notification procedure documented	__
Staff trained on GDPR	__
Records of Processing Activities maintained	__

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Case Management System Security

Requirement	Status	Notes
Reputable vendor/system in use	__
Role-based access within system	__
Audit logging enabled	__
Data Processing Agreement with vendor	__
Regular backups confirmed	__
SLA with acceptable terms	__
Financial controls meet Accounts Rules	__

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Remote Working Security

Requirement	Status	Notes
Laptops have full disk encryption	__
Mobile device management implemented	__
VPN configured and mandatory	__
MFA for remote access	__
Home working security guidance provided	__
Lost device procedure documented	__

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Cyber Insurance

Requirement	Status	Notes
Cyber insurance policy in place	__
Policy requirements understood and met	__
Compliance evidence documented	__
Coverage adequate for practice size	__

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SCORING YOUR COMPLIANCE:

Count your responses:

✅ GREEN items: ____
⚠️ AMBER items: ____
❌ RED items: ____

Compliance Rating:

• 90-100% GREEN: Excellent compliance, maintain standards
• 70-89% GREEN: Good compliance, address amber/red items within 3 months
• 50-69% GREEN: Moderate compliance, significant improvement needed within 6 months
• Below 50% GREEN: Poor compliance, immediate action required, consider professional help

Any RED items are urgent priorities requiring immediate attention.

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Download the Complete Checklist

Get the printable PDF version of this checklist plus detailed remediation guidance for common issues.

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Common SRA IT Compliance Mistakes Solicitors Make

Understanding where other practices fail helps you avoid the same pitfalls. These are the most common SRA IT requirements mistakes we see when assessing solicitor practices.

Mistake 1: “We’re Too Small to Be Targeted”

The assumption: “Cyber criminals target large firms, not 5-person practices.”

The reality: Small practices are specifically targeted because:

• Easier to breach (less sophisticated security)
• Less likely to have cyber insurance
• More likely to pay ransoms quickly (can’t afford downtime)
• Gateway to larger firms and clients
• Handle valuable data (property, financial, commercial)

2025 statistics: 67% of cyber attacks on legal practices targeted firms with fewer than 20 employees.

What to do: Implement the same security standards regardless of size. The SRA makes no exemptions for small practices.

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Mistake 2: Relying Solely on Your Case Management Provider’s Security

The assumption: “Our case management system is cloud-based and secure, so we’re compliant.”

The reality: Your case management provider handles their infrastructure security, but you’re responsible for:

• User access management
• Password policies
• MFA implementation
• Staff training
• Endpoint security (laptops, phones)
• Email security
• Physical security
• Business continuity planning

Your vendor’s security doesn’t absolve your SRA obligations.

What to do: Understand the shared responsibility model. Vendor secures their infrastructure; you secure access, usage, and integration points.

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Mistake 3: Using Consumer-Grade IT Products

The assumption: “Microsoft 365 Business Basic is enough for our practice.”

The reality: Consumer and basic business products lack essential security features:

• Basic M365: No conditional access, limited security tools
• Consumer routers: Inadequate firewall for business use
• Personal Dropbox: No enterprise controls or encryption
• Free antivirus: Limited protection and no central management
• Personal devices: No management or security controls

What to do: Invest in business/enterprise-grade security tools with proper management and monitoring.

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Mistake 4: No Testing of Backups or Disaster Recovery

The assumption: “We have backups configured, so we’re protected.”

The reality: Many practices discover their backups don’t work when disaster strikes:

• Backup job configured but failing silently for months
• Backup files corrupted and unrestorable
• Backup encryption key lost
• Restore process never tested, doesn’t work under pressure
• Backup doesn’t include all critical systems

SRA interventions: Multiple cases where practices couldn’t restore client files after ransomware, leading to intervention.

What to do:

• Monthly: Test restore of sample files
• Quarterly: Full restore test to alternative location
• Annually: Disaster recovery simulation
• Document all tests and results

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Mistake 5: Everyone Has Admin Rights

The assumption: “It’s easier if everyone can install software and make changes.”

The reality: Giving all users administrator rights:

• Allows ransomware to spread system-wide
• Enables accidental deletion of critical data
• Permits unauthorised software installation
• Makes forensic investigation difficult after incidents
• Violates principle of least privilege

What to do: Standard users for day-to-day work. Admin rights only for IT staff and specific tasks.

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Mistake 6: Unencrypted Email for Client Communications

The assumption: “Email is fine for client communications, everyone uses it.”

The reality: Standard email is not secure:

• Transmitted unencrypted across the internet
• Readable by email providers and intermediaries
• Vulnerable to interception
• Doesn’t meet confidentiality obligations for sensitive data

SRA position: Unencrypted email inappropriate for highly confidential information.

What to do:

• Deploy email encryption (Microsoft 365 Message Encryption, Egress)
• Use secure client portals for sensitive document exchange
• Train staff on when encryption is required
• Client guidance on secure communications

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Mistake 7: Former Staff Still Have System Access

The assumption: “We’ll disable their account when we remember.”

The reality: Delayed access removal creates serious risks:

• Disgruntled ex-staff accessing confidential data
• Accounts compromised after staff leave
• Data exfiltration by former employees
• Violation of access control requirements

What to do:

• Immediate account deactivation (same day as departure)
• Automated leaver process with checklist
• Regular access audits to catch missed accounts
• Alert system for dormant accounts

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Mistake 8: No Security Training for Staff

The assumption: “Our staff know not to click suspicious emails.”

The reality: Staff are the weakest link in security:

• Phishing attacks increasingly sophisticated
• Social engineering targets legal practices
• Staff unaware of security policies
• Poor password practices common
• Physical security breaches (tailgating, etc.)

Statistics: 88% of data breaches involve human error.

What to do:

• Mandatory annual security awareness training
• Quarterly phishing simulation exercises
• Regular security reminders and updates
• Incident reporting culture (no blame for honest mistakes)
• Role-specific training (accounts staff, IT admins)

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Mistake 9: Treating Compliance as One-Time Exercise

The assumption: “We did a security review in 2020, so we’re compliant.”

The reality: IT security requires continuous attention:

• New threats emerge constantly
• Software requires regular updates
• Staff turnover changes access requirements
• Business changes affect security needs
• Compliance standards evolve

What to do:

• Annual comprehensive security review
• Quarterly access audits
• Monthly backup testing
• Continuous monitoring and patching
• Regular policy reviews and updates

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Mistake 10: No Incident Response Plan

The assumption: “We’ll figure out what to do if something happens.”

The reality: During a cyber attack:

• Panic prevents clear thinking
• Delayed response worsens impact
• Evidence gets destroyed
• SRA reporting obligations missed
• Costly mistakes made

What to do:

• Document incident response plan
• Assign clear roles and responsibilities
• Include external support contacts (IT, legal, insurers)
• Practice with tabletop exercises
• Update plan regularly

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Technology Standards for Different Practice Areas

Whilst core SRA IT requirements for solicitors apply universally, different practice areas have specific technology considerations.

Conveyancing Practices

Additional IT considerations:

Case management integration:

• Land Registry portal integration
• Search provider integrations
• Lender panel management systems
• Anti-money laundering checks
• ID verification systems

High-risk transactions:

• Wire transfer fraud prevention (APP fraud)
• Payment verification procedures
• Dual authorisation for payments
• Client bank detail verification
• Secure communication of account details

Volume and speed:

• High transaction volumes
• Quick turnarounds required
• Automated workflows
• Template management
• Completion day pressures

Specific security measures:

• Payment verification protocols
• Client education on APP fraud
• Secure channels for bank details
• Dual sign-off on account changes
• Real-time transaction monitoring

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Litigation Practices

Additional IT considerations:

Document volume:

• Large disclosure exercises
• Document management systems
• Version control critical
• Privileged document protection
• E-discovery capabilities

Deadlines and court requirements:

• Court portal access
• Electronic filing requirements
• Serve document systems
• Deadline management
• Audit trails for service

Expert and counsel collaboration:

• Secure file sharing
• External collaboration tools
• Privileged communication protection
• Large file transfer capabilities

Specific security measures:

• Chinese walls between matters
• Privilege protection in systems
• Disclosure audit trails
• Secure external collaboration
• Chronology and timeline tools

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Family Law

Additional IT considerations:

Highly sensitive information:

• Financial disclosures
• Domestic abuse documentation
• Child welfare concerns
• Mental health information
• Extra confidentiality requirements

Client vulnerability:

• Often emotionally distressed clients
• Protection from abusive parties
• Secure client communications
• Address confidentiality

Court and CAFCASS interaction:

• Family court portals
• CAFCASS documentation
• Financial disclosure systems

Specific security measures:

• Enhanced client confidentiality
• Restricted access to sensitive files
• Secure client communication methods
• Address protection measures
• Staff training on vulnerability

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Corporate/Commercial

Additional IT considerations:

Commercial confidentiality:

• M&A transaction security
• Due diligence data rooms
• Commercial sensitive information
• Intellectual property protection

Large transaction values:

• High-value deals
• International parties
• Complex structures
• Multiple advisors

Data room management:

• Virtual data room services
• Access controls and permissions
• Audit trails of access
• Time-limited access

Specific security measures:

• Virtual data room due diligence
• Chinese walls for conflicted matters
• Deal team access restrictions
• Confidentiality ring protocols
• International data transfer controls

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Private Client

Additional IT considerations:

Wills and probate:

• Will storage security
• Executor access management
• Asset information protection
• Lasting Power of Attorney documents

Estate planning:

• Tax-sensitive information
• Financial planning details
• Family circumstances
• Long-term document retention

Trusts and tax:

• Complex financial structures
• HMRC interactions
• Long-term client relationships
• Multi-generational records

Specific security measures:

• Long-term secure document storage
• Will register access controls
• Succession planning for file access
• Extended retention periods
• Bereaved client sensitivity

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How to Achieve and Maintain SRA IT Compliance

Knowing the requirements is one thing; implementing them systematically is another. Here’s a practical roadmap to achieving SRA IT requirements for solicitors compliance.

Step 1: Conduct a Compliance Gap Analysis

Objective: Understand your current state vs. required state

Process:

1. Use the compliance checklist (provided earlier in this guide)
2. Rate each requirement (Green/Amber/Red)
3. Document specific gaps (what’s missing or inadequate)
4. Assess risk level (which gaps pose greatest risk)
5. Estimate remediation effort (time and cost for each item)

Output: Prioritised list of compliance gaps requiring remediation

Time required: 4-8 hours for thorough self-assessment, or engage professional IT security audit (more objective)

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Step 2: Create a Remediation Plan

Objective: Structured plan to address all compliance gaps

Approach:

Immediate priorities (0-30 days):

• Critical security gaps (no MFA, no backups, etc.)
• Active non-compliance with SRA standards
• High-risk vulnerabilities
• Items required for cyber insurance

Short-term priorities (1-3 months):

• Important security improvements
• Policy and procedure documentation
• Staff training programmes
• Access control improvements

Medium-term priorities (3-6 months):

• System replacements or upgrades
• Advanced security measures
• Process improvements
• Comprehensive testing

Long-term priorities (6-12 months):

• Strategic technology improvements
• Advanced capabilities
• Continuous improvement initiatives

Document the plan:

• Specific actions for each gap
• Responsible person assigned
• Target completion date
• Budget required
• Success criteria

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Step 3: Implement Priority Fixes

Critical actions that most practices need:

Week 1: Emergency security basics

1. Enable MFA on all email accounts
2. Enforce strong password policy
3. Verify backups are running and tested
4. Review and disable former staff accounts
5. Update all critical security patches

Week 2: Documentation essentials 6. Write basic information security policy 7. Document incident response procedure 8. Create user access management process 9. Establish backup testing schedule 10. Document business continuity basics

Week 3: Training and awareness 11. Conduct security awareness training for all staff 12. Distribute security policies 13. Test incident response procedure 14. Run phishing simulation 15. Document training completion

Week 4: Technical improvements 16. Deploy endpoint protection on all devices 17. Configure email encryption 18. Implement secure client portal 19. Set up access logging and monitoring 20. Schedule regular security reviews

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Step 4: Document Everything

Why documentation matters:

For SRA compliance:

• Demonstrates systematic approach
• Evidences governance and oversight
• Shows policies communicated to staff
• Proves compliance during investigations

For cyber insurance:

• Required for policy compliance
• Needed for claims
• Demonstrates due diligence

For business operations:

• Staff know what’s expected
• Consistency in procedures
• Training reference
• Continuity when staff leave

Essential documents:

1. Information Security Policy (10-15 pages)
   • Scope and objectives
   • Roles and responsibilities
   • Technical security standards
   • User responsibilities
   • Incident response
   • Review process

2. Acceptable Use Policy (3-5 pages)
   • Email and internet use
   • Device usage
   • Password requirements
   • Remote working
   • Prohibited activities

3. Data Protection and Retention Policy (8-12 pages)
   • Legal basis for processing
   • Retention periods
   • Disposal procedures
   • Subject rights
   • Breach response

4. Business Continuity Plan (15-20 pages)
   • Risk assessment
   • Recovery strategies
   • Contact details
   • Step-by-step procedures
   • Test schedule

5. Incident Response Plan (8-10 pages)
   • Incident classification
   • Response team roles
   • Step-by-step procedures
   • Communication protocols
   • SRA reporting obligations

6. Access Control Policy (5-7 pages)
   • User provisioning
   • Access levels
   • Review procedures
   • Leavers process

7. Remote Working Policy (5-7 pages)
   • Device security requirements
   • VPN usage
   • Home environment standards
   • Public working restrictions

Template documents available: Many legal IT providers offer template policies that can be customised for your practice.

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Step 5: Staff Training and Awareness

Why training is critical:

Staff are your first line of defense (and your biggest vulnerability):

• Most breaches involve human error
• Phishing targets staff, not systems
• Policy compliance requires understanding
• Security culture starts with awareness

Training programme structure:

New starter induction (Day 1):

• Information security overview
• Acceptable use policy
• Password requirements
• Confidentiality obligations
• Who to contact for IT issues

Annual mandatory training (All staff):

• Current threat landscape
• Phishing awareness
• Password security
• Physical security
• Incident reporting
• Policy updates

Role-specific training:

• Accounts staff: Payment fraud prevention
• Fee earners: Client confidentiality
• IT admins: Security best practices
• Partners: Governance and oversight

Ongoing awareness:

• Monthly security tips
• Quarterly phishing simulations
• Incident lessons learned
• News about legal sector breaches

Training documentation:

• Attendance records
• Quiz/assessment results
• Training materials provided
• Annual refresh completion

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Step 6: Implement Monitoring and Review

Ongoing compliance requires continuous attention:

Monthly activities:

• Review backup success/failures
• Test restore of sample files
• Review access logs for anomalies
• Check for system updates
• Security incident review

Quarterly activities:

• Full restore test
• Access rights review and recertification
• Security policy review
• Phishing simulation
• Report to partners/board

Annual activities:

• Comprehensive security audit
• Risk assessment update
• Policy review and update
• Penetration testing (larger firms)
• Business continuity plan test
• Staff training refresh
• Cyber insurance renewal review

Assign responsibilities:

• Don’t assume “someone” will do it
• Named partners/directors responsible
• IT team or provider accountable
• Regular reporting to management

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Step 7: Engage Professional Support

When to get expert help:

Immediate professional help needed if:

• ✓ Current state is seriously non-compliant (50%+ red on checklist)
• ✓ You’ve suffered a security incident
• ✓ SRA has raised concerns
• ✓ Cyber insurance application rejected due to security
• ✓ No internal IT expertise
• ✓ Practice over 15 staff

Professional help beneficial for:

• ✓ Initial security audit and gap analysis
• ✓ Remediation plan development
• ✓ Technical implementation support
• ✓ Policy and procedure documentation
• ✓ Staff training delivery
• ✓ Ongoing managed security services

What to look for in IT support for solicitors:

• Legal sector experience and understanding
• SRA compliance knowledge
• Cyber Essentials certified (minimum)
• Local presence for on-site support
• 24/7 emergency response
• Transparent pricing
• Good references from other solicitors

Get expert help achieving SRA IT compliance

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Cost of Non-Compliance vs Investment in Compliance

Understanding the financial implications helps justify proper investment in SRA IT requirements compliance.

The True Cost of Non-Compliance

Direct costs of a serious IT security incident:

SRA intervention:

• Intervention agent fees: £50,000-£200,000
• Legal costs: £20,000-£100,000
• Lost practice value: £100,000-£1,000,000+
• Partner personal liability: Variable
• Total: £170,000-£1,300,000+

Data breach response:

• Forensic investigation: £15,000-£50,000
• Legal advice: £10,000-£30,000
• Client notification: £5,000-£20,000
• Credit monitoring for affected clients: £50-£100 per person
• PR/reputation management: £10,000-£50,000
• Total: £40,000-£150,000+

Ransomware attack:

• Ransom payment (if paid): £5,000-£500,000
• Recovery costs: £20,000-£100,000
• Lost revenue during downtime: £10,000-£50,000 per week
• Data restoration: £15,000-£75,000
• System rebuild: £10,000-£50,000
• Total: £60,000-£775,000+

ICO fines:

• GDPR fines: Up to £17.5M or 4% turnover
• Realistic for solicitors: £10,000-£500,000
• DPA criminal fines: Up to £5,000 (summary), unlimited (indictment)

Client compensation claims:

• Professional indemnity claims: £50,000-£500,000+ per incident
• Excess payments: £5,000-£25,000 per claim
• Premium increases: 50-200% for 3-5 years

Business impact:

• Revenue loss during incident: £5,000-£50,000 per week
• Client attrition: 20-40% over following year
• Staff departures: Key staff leave
• Reputational damage: Difficult to quantify, potentially practice-ending

Total potential cost of serious non-compliance incident: £500,000-£3,000,000+

This doesn’t include the stress, anxiety, sleepless nights, and career impact on partners.

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Investment in Compliance

Annual cost of proper IT compliance for solicitor practices:

5-10 person practice:

• Managed IT support: £850-£1,100 per user = £5,100-£11,000/year
• Cyber Essentials certification: £300-£500/year
• Cyber insurance: £1,500-£3,000/year
• Security training: £500-£1,000/year
• Annual security audit: £1,000-£2,000/year
• Total: £8,400-£17,500/year

11-25 person practice:

• Managed IT support: £850-£1,100 per user = £11,220-£27,500/year
• Cyber Essentials Plus: £1,000-£2,000/year
• Cyber insurance: £3,000-£6,000/year
• Security training: £1,000-£2,000/year
• Annual security audit: £2,000-£3,500/year
• Total: £18,220-£41,000/year

26-50 person practice:

• Managed IT support: £850-£1,100 per user = £26,520-£55,000/year
• ISO 27001 or advanced certification: £3,000-£8,000/year
• Cyber insurance: £6,000-£12,000/year
• Security training: £2,000-£4,000/year
• Penetration testing: £3,000-£8,000/year
• Total: £40,520-£87,000/year

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Return on Investment Calculation

Example: 15-person litigation practice

Annual compliance investment: £25,000

Risk mitigation value:

Without compliance, 10-year probability:

• Serious cyber incident: 60% chance
• Average cost: £400,000
• Expected cost: £240,000

With compliance:

• Serious cyber incident: 5% chance (12x reduction)
• Average cost: £100,000 (better response, insurance covers more)
• Expected cost: £5,000

10-year comparison:

• Without compliance: £240,000 expected incident cost
• With compliance: £250,000 investment + £5,000 incident cost = £255,000
• Difference: £15,000 more spent BUT…

Additional value of compliance:

• ✓ Practice continues operating (priceless)
• ✓ Professional reputation intact
• ✓ Partners sleep soundly
• ✓ Cyber insurance actually pays claims
• ✓ Client confidence maintained
• ✓ SRA intervention avoided
• ✓ Business value preserved

The “£15,000 more” buys £1,000,000+ in protection and peace of mind.

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Cost Per Transaction Perspective

Putting IT security cost in context:

15-person conveyancing practice:

• 500 completions per year
• IT security cost: £25,000/year
• Cost per completion: £50

Question: Would clients happily pay £50 per transaction for proper data protection and security?

Answer: Absolutely. It’s a trivial cost vs. the value and sensitivity of the transaction.

The cost of SRA IT compliance is a small fraction of 1% of most practices’ turnover, it’s a fundamental cost of professional practice, like indemnity insurance.

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Choosing SRA-Compliant IT Support for Your Practice

Not all IT support providers understand SRA IT requirements for solicitors. Here’s how to select one that does.

What to Look For

Legal sector experience:

• ✓ Current solicitor clients (ask for references)
• ✓ Understanding of SRA standards
• ✓ Knowledge of legal practice management systems
• ✓ Experience with law society requirements
• ✓ Familiarity with conveyancing/litigation-specific needs

Security credentials:

• ✓ Cyber Essentials certified (minimum)
• ✓ ISO 27001 (desirable for larger practices)
• ✓ Microsoft Partner status
• ✓ Security-focused rather than general IT
• ✓ Incident response capabilities

Service delivery:

• ✓ Local presence for on-site support
• ✓ Defined response times (SLA)
• ✓ 24/7 emergency support available
• ✓ Proactive monitoring (not just reactive)
• ✓ Regular security reviews and reporting

Compliance support:

• ✓ Help with SRA compliance requirements
• ✓ Policy and procedure documentation
• ✓ Staff training provision
• ✓ Audit support
• ✓ Incident response planning

Transparent pricing:

• ✓ Clear, predictable monthly costs
• ✓ What’s included vs. extra
• ✓ No hidden fees
• ✓ Scalable as practice grows

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Essential Questions to Ask

About their legal sector experience:

1. “How many solicitor practices do you currently support?”
   • Look for: 5+ current solicitor clients

2. “Can you provide references from practices similar to ours?”
   • Insist on speaking with actual clients

3. “What specific SRA requirements do you help practices meet?”
   • Should demonstrate knowledge of SRA standards

4. “Which legal practice management systems have you supported?”
   • Experience with your specific system beneficial

About security and compliance:

5. “Are you Cyber Essentials certified?”
   • Minimum credential to look for

6. “How do you ensure our systems meet SRA IT requirements?”
   • Should have systematic approach

7. “What’s your process for security incident response?”
   • Detailed procedure, not vague promises

8. “How often do you conduct security reviews?”
   • Quarterly minimum

About service delivery:

9. “What are your guaranteed response times?”
   • 4-hour response for critical issues reasonable

10. “How quickly can you get someone on-site to our office?”
    • Same-day for local provider

11. “Is 24/7 emergency support available?”
    • Essential for serious incidents

12. “What’s included in your monthly fee vs. what costs extra?”
    • Transparency critical

About practical support:

13. “Do you provide staff security training?”
    • Should offer or facilitate

14. “Can you help us with SRA compliance documentation?”
    • Policies, procedures, audit evidence

15. “What happens if we need to switch providers?”
    • Data extraction, handover process

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Red Flags to Avoid

Walk away if:

• ❌ No legal sector experience
• ❌ Can’t provide solicitor references
• ❌ Don’t know what SRA IT requirements are
• ❌ No security certifications
• ❌ No local presence (remote-only)
• ❌ Vague about response times
• ❌ No 24/7 emergency support
• ❌ Unclear or hidden pricing
• ❌ Pressure to sign long contracts
• ❌ Bad feeling about cultural fit

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Making Your Decision

Evaluate 3-4 providers:

• Initial calls with each
• Detailed proposals
• Reference checks
• Pricing comparison
• Cultural fit assessment

Don’t choose based solely on price:

• Cheapest rarely best value
• Security compromises expensive
• Consider total cost including incidents prevented

Start with reasonable contract term:

• 12 months standard
• 30-90 day termination notice
• Avoid excessive lock-ins

Plan transition carefully:

• Handover from current provider
• Minimal disruption
• Documentation transfer
• Staff communication

Get SRA-compliant IT support from West Sussex specialists

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Getting Started with SRA IT Compliance Today

You’ve read the guide. You understand the SRA IT requirements for solicitors. Now it’s time to take action.

Your Immediate Next Steps (This Week)

Day 1: Assess Your Current State

1. Download the compliance checklist (provided earlier)
2. Block 2 hours in your diary
3. Complete the self-assessment honestly
4. Count your Red/Amber/Green scores
5. Identify your critical gaps

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Day 2: Secure Quick Wins

6. Enable MFA on all email accounts (30 minutes)
7. Enforce password complexity (15 minutes)
8. Test your last backup restore (1 hour)
9. Review user access and disable ex-staff (30 minutes)
10. Schedule security updates (15 minutes)

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Day 3: Documentation Basics

11. Write basic security policy (2 hours, or use template)
12. Document incident response procedure (1 hour)
13. Create leavers checklist (30 minutes)
14. Start compliance evidence folder
15. Schedule partner discussion about IT security

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Day 4: Training and Awareness

16. Brief staff on security importance (15 minutes)
17. Share password requirements
18. Explain incident reporting process
19. Schedule formal training session
20. Send phishing awareness reminder

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Day 5: Plan Next Steps

21. Review your assessment results
22. Create 90-day action plan
23. Assign responsibilities
24. Schedule follow-up reviews
25. Consider professional support if needed

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30-Day Compliance Sprint

Week 1: Critical security

• MFA everywhere
• Backup testing
• Access reviews
• Emergency patching

Week 2: Documentation

• Security policy
• Incident response
• Business continuity basics
• Retention policy

Week 3: Training

• All-staff security awareness
• Role-specific training
• Phishing simulation
• Policy distribution

Week 4: Technical improvements

• Endpoint protection
• Email encryption
• Client portal
• Monitoring setup

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90-Day Full Compliance Programme

Month 1: Foundation

• Complete gap analysis
• Implement critical fixes
• Essential documentation
• Staff training programme

Month 2: Technical improvements

• Security tool deployment
• System hardening
• Integration security
• Testing and validation

Month 3: Process and governance

• Advanced documentation
• Continuous monitoring
• Review procedures
• Ongoing improvement plan

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When to Get Professional Help

DIY is realistic if:

• ✓ Under 10 staff
• ✓ Someone has IT knowledge
• ✓ Modest compliance gaps
• ✓ Time to invest
• ✓ Comfortable with technology

Get professional help if:

• ✓ Over 15 staff
• ✓ Significant non-compliance
• ✓ Previous security incident
• ✓ No internal IT expertise
• ✓ SRA concerns raised
• ✓ Complex technology environment
• ✓ Want it done properly first time

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Take Action Now

The SRA is clear: You must protect client information with appropriate systems and controls.

Every day of non-compliance increases your risk.

Every week without proper backups is a gamble with your practice’s future.

Every month without MFA is an open invitation to cyber criminals.

Don’t wait for an incident to force action. Don’t wait for an SRA investigation. Don’t gamble with your professional reputation and your clients’ confidentiality.

Start today.

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Conclusion: SRA IT Compliance is Non-Negotiable

SRA IT requirements for solicitors aren’t optional extras or aspirational goals, they’re fundamental professional obligations that protect your clients, your practice, and your career.

The key messages from this guide:

✅ SRA compliance affects every solicitor – Size doesn’t exempt you
✅ IT security is integral to professional obligations – Not separate
✅ Consequences of non-compliance are severe – Practice-ending potential
✅ Compliance is achievable – Systematic approach works
✅ Investment is justified – Tiny vs. cost of failure
✅ Professional help available – Don’t struggle alone

The 10 essential requirements:

1. Client confidentiality & data protection
2. Information security management
3. Cyber security measures
4. Data backup & business continuity
5. Access control & user management
6. Secure communications
7. GDPR compliance
8. Case management system security
9. Mobile device & remote working security
10. Cyber insurance

Your practice likely has some compliance gaps. Every practice does. The question is: What are you going to do about it?

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Get Expert Help with SRA IT Compliance in West Sussex

ATS Connection specialises in IT support for solicitors across West Sussex, helping practices achieve and maintain SRA compliance.

Our Solicitor IT Services:

✓ SRA compliance assessments – Identify your gaps
✓ Managed IT support – Proactive, legal sector focused
✓ Security implementation – All 10 requirements covered
✓ Staff training – Security awareness for your team
✓ Policy documentation – Compliance evidence ready
✓ Incident response – 24/7 emergency support
✓ Ongoing compliance – Regular reviews and updates

Why Solicitors Choose ATS Connection:

• Legal sector specialists – We understand SRA requirements
• 20+ years combined security experience – Proven expertise
• Cyber Essentials certified – Meets insurance requirements
• West Sussex based – Fast on-site support (Chichester, Worthing, Arundel)
• Transparent pricing – No hidden fees
• Proactive approach – Prevention, not just reaction

Solicitor practices we support across West Sussex include:

• Litigation practices
• Conveyancing specialists
• Family law firms
• Private client practices
• Mixed practices
• Sole practitioners to 50+ staff firms

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Get Your Free SRA IT Compliance Audit

We’ll assess your current compliance, identify gaps, and provide a clear remediation roadmap, completely free, no obligation.

What you get:

• Comprehensive compliance checklist completed
• Red/Amber/Green status report
• Priority action list
• Budget estimate for remediation
• 30-minute consultation to discuss findings

Call us: 01903 255159
Email: contact@tsconnection.co.uk