INSIDE THIS ISSUE:
Welcome to RACO’s Partners Insight Newsletter, wherein we showcase our current partners, their services and other essential insights. Read on to delve into articles from:
- FireTap Marketing
- PracticeEvolve
- LegalKeepers
- Aquarius Reporting &
- Verify 365
Featured also is word from David Green of RACO (see below), tips for law firms, service guides, and lots more…
DOWNLOAD THE FULL NEWSLETTER HERE
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SRA Disciplinary Defence: What Solicitors Must Know About Public Outcomes –
David Green
What to Expect When Facing SRA Investigations and Disciplinary Proceedings
No solicitor or firm wants to be the subject of an enquiry from the Solicitors Regulation Authority (SRA) or face a hearing before the Solicitors Disciplinary Tribunal (SDT). However, with increasing scrutiny from the regulators, these situations are becoming more common.
When they do arise, an enquiry or investigation can present significant challenges for law firms and individuals and result in serious consequences, both professionally and personally.
Whether the matter begins with an internal investigation, has been initiated by the SRA, or has already been referred to the SDT, at the Regulation and Compliance Office (RACO), we will be ready to support any firm or individual, no matter at what stage of the process we are instructed.
Our aim is always to provide calm, clear and practical support, but our services are designed to help prevent these matters from reaching that point in the first place.
In a follow-up to our previous article, ‘Navigating SRA Enquiries and Investigations’, we look at the recent increase in SRA investigations and SDT cases, as well as the SRA’s preference for publication over privacy.
The SRA Does Not Like to Do Things in Secret
One of the key aspects of a decision following an investigation or tribunal is the amount of information the SRA and SDT choose to publish. If you or your firm is under investigation or facing a tribunal, it might not remain a private matter. The SRA publishes disciplinary decisions as a matter of routine, and the most recently published regulatory decisions are available on the SRA website at https://www.sra.org.uk/consumers/solicitor-check/recent-decisions/. The SDT, meanwhile, will also publish its latest judgments and recent cases, providing detailed reasons and findings on the facts surrounding the case:
https://solicitorstribunal.org.uk/judgments
The rationale for publishing is not to punish or humiliate but to provide transparency, uphold public confidence, and protect the profession’s reputation. This approach is supported by the courts, as highlighted by a recent case. A solicitor who was struck off requested that their identity be withheld, but the Court of Appeal dismissed this request. Transparency, the court said, remains essential to maintaining trust in the profession. You can read the full story in the Law Gazette here: Struck-off solicitor’s anonymity attempts in appeal are dismissed.
Over the last few months, the industry has seen an increase in anonymity applications, particularly in serious misconduct cases being handled by the SRA and SDT. While a decision to grant anonymity is considered in some cases, it would only be in exceptional circumstances. Read more about this in Legal Futures here: Sexual misconduct cases “lead to rise in SDT anonymity requests”.
The SRA confirms that there are several factors that determine whether it will publish a decision, including:
- Why the decision was made.
- The type of decision.
- If it is in the public interest to publish it.
To read more about the regulator’s approach to publishing its decisions, see: guidance on publishing regulatory and disciplinary decisions.
Support and Defence from Experts Who Understand the Pressure
At RACO, our regulatory defence and disciplinary support consultants understand what is at stake personally and professionally if you or your firm is facing an investigation by the SRA.
We have a proven track record of delivering honest, pragmatic advice and building strategies that ensure any breach is managed correctly and the engagement with the SRA is controlled and measured. Whilst we cannot guarantee an outcome, we can help to prepare the case, the firm, and the individual for any sanctions that may follow.
We provide tailored services that deal with the following:
- SRA Enquiries
- Self-Reporting – including for the SRA, ICO, CLC, CILEX
- Solicitor Disciplinary Tribunal Support
- Regulatory Settlement Agreements
- Agreed Outcomes – Statements and Judgments
Regardless of the reason for engagement with the regulator, RACO has helped support multiple law firms and individuals in addressing and overcoming issues.
READ FULL ARTICLE HERE.
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LegalKeepers
When the Main Stage Fails, the Back Office Keeps the Show Going
Just days before the gates were set to open, a fire broke out at Tomorrowland’s main stage. It caused significant damage, disrupted preparations, and forced organisers to rethink how one of the world’s most iconic festivals would proceed. But they made a decision and the show will go on.
That kind of resilience does not happen by accident. It comes from knowing that behind the lights, cameras, and headline acts, there are systems and people working quietly to keep everything else running. In many ways, law firms operate the same way.
When things go wrong or when things grow faster than expected, it is not always the high-profile roles that hold things together. It is the support systems behind them. And nowhere is that more important than in legal bookkeeping.
The Foundation Matters More Than the Stage
In any law firm, the work that gets seen is usually the fee earning. The case outcomes, the deals and of course the wins.
But none of that happens without financial processes that are compliant, controlled, and well-managed meaning the accuracy of client ledgers, the timing of reconciliations and the proper handling of transfers and residual balances.
These are not just background tasks they are essential. And when they are managed well, nobody notices. But when they fail, the consequences are immediate.
The fire at Tomorrowland did not just damage a structure; it put an entire production timeline at risk, and the same happens in law firms when bookkeeping systems break down, then matters stall, client confidence fades, and worst of all, regulatory risk increases.
Outsourcing Brings Resilience Into the Firm
That is why more firms are choosing to outsource their legal bookkeeping. Not to offload responsibility, but to build a more resilient operation behind the scenes.
An outsourced legal cashier is not a temporary fix, it is a dedicated professional who ensures that compliance is maintained, reports are delivered, and finances are kept under control regardless of what is happening on the surface.
To read more, click here to see the full article.
Alternatively, to learn more about LegalKeepers, visit our Partner page here.
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Aquarius Legal Reporting
Move On from Your Legacy System – Without the Data Migration Headache
Most firms realise that a move from a legacy case management or document system to a cloud-based platform will provide increased efficiency, faster collaboration, enhanced security, and improved reporting. However, aside from concerns such as cost, and staff adapting to new software, one of the biggest obstacles often holding firms back from making that transition is the challenge of data migration.
Even a small high street firm could have years of data stored across multiple systems. Furthermore, if the data has not been accurately maintained, contacts may have been duplicated, some data may be outdated, and some of it will still be essential for compliance or reporting purposes. Therefore, migrating data without planning is risky, as you could lose access to key files, carry over errors, or end up with two disconnected systems that don’t talk to each other. This is where most firms are deterred by the prospect of migrating to a new system. It’s not just about what to move, but also how to clean it, how to integrate it with the new tools, and how to ensure access to anything important isn’t lost. Additionally, what will the reporting functionality look like when trying to collate historical and future data?
Clean Data, Faster Migration, Better Decision
Aquarius Reporting is helping firms accelerate their digital transformation and avoid that trap. Our team works closely with legal practices to refine existing data and accurately migrate the necessary information into new cloud-based systems. We also ensure that firms can still access historical records when needed, ensuring they meet file retention obligations, for example, but without dragging unnecessary problems into the new platform. However, reporting is where our service really excels.
Backed by Microsoft Power BI, Aquarius makes it possible to bring together data from across multiple systems and sources into clear, tailored dashboards. Our suite of reports has been designed specifically for key stakeholders across the firm, including partners, practice managers, finance leads, and compliance teams, to provide access to up-to-date, reliable reporting that shows one version of the truth and highlights what really matters: profitability, client trends, fee earner and case efficiency, regulatory tracking, and much more.
The recent digital transformation at TWM Solicitors provides a great example of just this. Midway through the financial year, TWM switched to a new practice management system, PracticeEvolve. Our experts at Aquarius were brought in to consolidate data from both the old and the new platforms, ensuring continuity in reporting and providing the firm with accurate visibility into performance. What was the result? TWM has gained clearer insights into client value, fee earner productivity and better compliance tracking and much more.
To read more, click here to see the full newsletter. Alternatively, to learn more about Aquarius Legal Reporting, visit our Partner page here.
Win 2 Months of Aquarius Reporting
Plus a Full Day with Our Experts
We’re offering RACO members the chance to win a premium package designed to transform how your law firm uses data – free of charge.
This exclusive prize includes:
- 2 months access to Aquarius Reporting – Up-to-date insights. One unified view.
- 1 full day of our Expert Advisory Service – Strategic guidance tailored to your firm’s goals.
Make better decisions, faster – with the tools and expertise to back them up.
Get clarity, control, and competitive advantage.
Enter the prize draw by Friday 22nd August.
Winner announced Friday 29th Aug.
To enter the prize draw, please click here.
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PracticeEvolve
When Borders Modernise, So Should Casework
This year, UK travellers will begin moving through European e‑gates once again. What was once a benefit reserved for EU citizens is now being extended to British passport holders, starting with Germany and expected to follow across other major airports. The move is designed to reduce queues, improve flow, and make border control more efficient without compromising on oversight.
It is a small but significant example of how systems once built for friction are finally being reimagined for progress. And for law firms it is a moment worth watching.
Because if borders are modernising to move people through complex systems more smoothly, firms should be asking the same of their own internal operations. Especially when it comes to the way casework is managed.
Expectations Have Shifted but Systems Have Not
For many legal professionals, matter management remains more complicated than it needs to be. Teams are dealing with multiple systems, inconsistent processes, and a daily reliance on manual checklists just to keep a case moving a number of things then go wrong tasks get repeated or documents go missing. It is a long queue of its own kind and one that staff move through slowly frustrated by avoidable delays.
In the same way that e‑gates are designed to eliminate unnecessary steps at the border, modern practice management should remove the administrative clutter that slows down legal delivery. Firms should not be navigating a matter the same way they did ten or fifteen years ago. The needs of clients have changed and so has the pace of work. The expectations for visibility and responsiveness have changed so why have so many systems stayed the same?
Case Management Should Be a Seamless Journey
The success of an e‑gate lies in its ability to keep essential checks in place while making the experience fast and consistent. There is no loss of security or control it simply uses the right tools to make the journey less manual and legal operations should aim for the same balance.
Well managed casework is not just about capturing data or hitting deadlines. It’s about giving every team member a clear view of what needs to happen next making collaboration easy and ensuring progress is visible at every stage. That cannot happen when information is locked in separate systems or buried in individual inboxes.
Efficiency Does Not Mean Cutting Corners
One of the criticisms often aimed at automation is that it removes the human touch. But in legal work automation is not about removing judgement or care. It is about reducing repetition, reducing the risk of error, and making space for solicitors and support staff to focus on the moments that matter most.
To read more, click here to see the full newsletter. Alternatively, to learn more about PracticeEvolve, visit our Partner page here.
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FireTap Legal Marketing
HOW LAW FIRMS ARE MAKING A SPLASH WITH EMAIL MARKETING
Yes – that’s right. People still open marketing emails. However, learning how to reach your target audience and avoid being sent to the spam bin is becoming more of a fine art than a protocol.
In modern times, inboxes are bursting at the seams with scattergun-approach marketing and blanket junk advertisements, meaning people are now more than ever ready to delete your message at a single glance. Captivating your recipient in the few milliseconds you have whilst their brain sorts your email between the ‘Oh, that might be helpful’ and ‘God, not more trash’ piles can prove challenging, but there is a way…
Learning to optimise email marketing fully is, first and foremost, about adopting a process and constructing a focused and revised strategy. However, regardless of the numerous trials and tribulations all businesses must face (particularly smaller ones), email marketing is one of the most cost-effective ways to market your firm to a larger audience.
What is an Email Marketing Campaign?
In a nutshell, email campaigns are a series of emails targeting a specific and predetermined list of people, and with a specific intention relevant to those who are going to be opening it. But before you can begin designing your email’s look and curating the type of content that separates you apart from the crowd (see more here), you must first consider your email marketing strategy.
Email Marketing Strategies for Law Firms
For law firms in particular, identifying your target audiences and learning to differentiate between them is vital. You may well believe that knowing your target audience is a given – if your firm specialises in private client for example, you’ll likely consider a campaign for clients specifically looking to write their will, or if your firm offers Family Law services, you may consider a campaign specifically aimed at those looking for a no-fault divorce – but often, as with most things, there’s more to it.
Once you give your full attention to identifying your target audience(s), you’ll realise that within those segments are smaller pockets. And these segments within segments can be targeted alternately still for best results.
Want to read more? Read the full article on our website here and download your free marketing checklist!
Having thoughts about beginning your email marketing journey, but don’t know where to begin? Perhaps you already have, but you aren’t seeing the engagement you would like? Why not schedule a free discovery call?
During your discovery call, we’ll discuss your marketing goals and provide guidance on how to achieve them. Our discovery calls last approx. 30 mins, and are completely free with no obligation, so why wait? Click here now.
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INTRODUCING… VERIFY 365
The Complete AML, KYC and Client Onboarding Platform
With enhanced due diligence verification checks and source of funds analysis, confirm the identity of an individual or business and protect your firm from potential risks and sanctions by utilising our innovative AML and compliance solution onboarding platform.
About Us
Established by experienced lawyer Rudi Kesic, his vision was to help elevate the legal sector by solving the challenges he regularly faced, including anti-money laundering (AML) and compliance. Rudi wanted to craft an innovative legal technology product that had the ability to not only grow but develop and elevate the legal sector.
Verify 365 is the award-winning AML, KYC, and KYB client onboarding platform, designed by legal experts to address the specific needs and challenges of solicitors, conveyancers, and estate agents.
Verify 365 combines nine essential elements in one seamless solution: ID Verifications, Global Address Checks, Source of Funds Checks, eSignatures, ePayments, eForms, PEPs & Sanctions Checks, KYB Checks, and Property Searches.
Our software was created within the guidelines set by the Solicitor Regulation Authority and our proprietary ID Verification technology, DynamicID, ensures you achieve the HM Land Registry’s coveted ‘Safe Harbour’ status.
“Legal tech crafted by Legal Experts”
TO FIND OUT MORE, CLICK HERE OR CONTACT RACO VIA THE INFORMATION PROVIDED BELOW.
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Regulation & Compliance Office
LAW FIRM COMPLIANCE
Regulation & Compliance Office provides essential support to law firms. We offer a range of services and consultancy tailored to the Legal sector, including guidance and services for regulation & compliance. We have gained a wealth of knowledge and experience in managing law firms and working with them to achieve profitability, stability, and efficiency.
Our goal is to become a valued and respected partner to our member law firms, providing high-quality services and solutions at all times.
If your firm wishes to review or strengthen its approach to risk, compliance and regulation, you can call us on 0203 985 8550 or email us at info@regulationandcomplianceoffice.co.uk
