Centralise regulatory obligations, automate compliance checks, and maintain audit-ready records — giving your COLP and COFA confidence that nothing is being missed.
The SRA Standards and Regulations place extensive obligations on law firms, from client account management to complaints handling and ongoing competence. COLPs and COFAs shoulder enormous personal risk, yet most firms still track compliance in spreadsheets and rely on annual reviews rather than continuous monitoring.
Regulatory obligations tracked in static spreadsheets quickly become outdated and fail to provide real-time assurance.
Compliance issues are discovered during annual reviews or SRA visits rather than caught and resolved in real time.
Compliance officers bear personal regulatory risk but lack the tools to monitor obligations across the firm effectively.
Without a structured process, complaints are handled differently by each partner, risking SRA reporting breaches.
Purpose-built capabilities — not generic templates you have to work around.
A centralised, living register of all SRA obligations, each with an owner, review date, and evidence requirements.
Log compliance breaches and near-misses with root-cause analysis and remediation tracking to satisfy SRA reporting obligations.
A structured complaints-handling process with acknowledgement deadlines, investigation steps, and outcome recording.
Real-time dashboards give compliance officers a single view of outstanding obligations, open breaches, and upcoming review dates.
Track firm-wide policies, staff training records, and CPD compliance to demonstrate ongoing competence.
All SRA regulatory obligations are documented in the register with assigned owners, review frequencies, and evidence requirements.
Dashboards surface overdue reviews, open breaches, and approaching deadlines in real time for the COLP and COFA.
Compliance breaches and complaints are logged, investigated, and remediated through structured workflows.
Generate compliance reports for the management board, SRA returns, and professional indemnity insurers from live data.
Periodic reviews update the obligation register, capture lessons learned, and strengthen the firm's compliance posture.
Try these tools to assess and improve your operations.
SwiftCase provides a configurable obligation register that can cover all areas of the SRA Standards and Regulations — including Accounts Rules, Code of Conduct, transparency rules, complaints handling, and ongoing competence requirements.
When a complaint is received, SwiftCase creates a structured case with acknowledgement deadlines, investigation steps, response drafting, and outcome recording — ensuring your firm complies with the SRA's complaints-handling requirements.
Yes. Compliance dashboards and reports provide the data needed for annual regulatory returns, including breach logs, complaints summaries, and training records.
Absolutely. SwiftCase is designed to make compliance manageable regardless of firm size. Automated reminders and structured workflows reduce the burden on COLPs and COFAs who also carry fee-earning responsibilities.
Any team member can log a compliance breach or near-miss. The system captures the details, assigns an investigator, tracks root-cause analysis, and records the remediation action — providing a complete audit trail for SRA reporting.
Centralised obligations, real-time dashboards, and structured breach management — book a demo to see SRA compliance made simple.
