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In-house Lawyers' Risk and Compliance Questions and Answers

Tracey Calvert
Availability: Published

Through a series of questions and answers, this book will assist solicitors employed by non-solicitor employers to understand and manage their regulatory and ethical duties. It provides expert advice on some of the most common issues that are likely to arise for the in-house lawyer.

Key areas covered include:

  • the relationship with their employer, SRA and other external stakeholders
  • professional ethics
  • conflicts of interest
  • practice rights for solicitors, RELs and RFLs
  • confidentiality
  • the SRA Standards and Regulations
  • providing services to the public
  • data protection
  • client care, and
  • duties to the court.

Each question and answer provides a clear description of the area, detailing numerous helpful resources and sharing valuable compliance tips. This book is an essential companion for all in-house solicitors. Written in an accessible style, it can be dipped into as required, read cover to cover or used as a basis for training.


Part 1 – The in-house lawyer’s relationship with the SRA and other external stakeholders  1. Relationship with the SRA and other external stakeholders  2. Practice rights – solicitors, registered European lawyers and registered foreign lawyers  Part 2 – Regulatory and ethical duties  3. SRA standards and regulations – an overview  4. SRA principles  5. Conflicts of interest, confidentiality and disclosure  6. Undertakings  7. Duties to treat others fairly  8. Equality, diversity and inclusion  9. Duties to the court  10. Introductions, referrals and separate businesses  Part 3 – The in-house lawyer’s relationship with their employer  11. Relationship with the employer  12. Professional duties and client considerations  13. Supervision  Part 4 – Other considerations  14. Other considerations 

About the Author

Tracey Calvert is a lawyer who has worked both in private practice and in-house. She has been a senior ethics adviser and then a policy executive with the Law Society and the SRA. She now runs her own consultancy business which provides regulatory, compliance and ethics services.

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Regulation and compliance


April 2024


The Law Society




208 Pages