April 2026 - DG Legal Newsletter
DG legal is a one stop shop for legal consultancy. The team headed by David has such a broad spectrum of experience that they are always able to provide first class advice whatever the situation. Their ongoing compliance toolkit is extremely user friendly and they are always one step ahead of compliance updates. We have used DG since 2006 and in that time their offering has only got stronger.
Robert Borwick
Director | ABV Solicitors
Each month we provide our Retainer clients with a highly rated compliance bulletin covering what they need to know and what action they must take. We provide short summaries of our compliance bulletins as monthly newsletters.
Who should read this item: All firms
Independent File Audits in Law Firms: What They Are and Why They Matter
Thursday 9 April 2026
A file audit (or file review) is a structured and documented review of individual client matter files whether physical or electronic, to assess whether work has been carried out in accordance with the firm’s internal procedures, regulatory requirements, and applicable professional standards.
File audits differ from system-based compliance reviews, such as Regulation 21 AML audits, in that they focus on the practical delivery of legal services. They test whether policies and procedures are being properly implemented at matter level across different practice areas.
File reviews form a key part of a firm’s overall compliance framework and are particularly relevant to demonstrating compliance with the requirements of the Solicitors Regulation Authority (SRA).
Contact us
To discuss how we can assist your firm with independent file audits or file reviews, please get in touch by emailing consultants@dglegal.co.uk or by calling 01509 214 999.
Who should read this item: All firms and individuals involved in the provision of litigation services
Court of Appeal Judgment in Mazur
Thursday 2 April 2026
On 31 March 2026, the Court of Appeal delivered its judgment in CILEx v Mazur & Others, restoring clarity on how law firms may delegate litigation tasks. The Court confirmed that the Legal Services Act 2007 (LSA) permits authorised individuals—such as solicitors and authorised CILEx members—to delegate litigation-related work to non authorised staff, provided that the authorised individual retains responsibility and exercises proper supervision.
The Court overturned the earlier High Court ruling, which had suggested that supervised staff could assist but not “conduct litigation”. The Court of Appeal made clear that both assistance and supervised conduct are lawful. However, delegation is not automatic as firms must ensure the appropriate arrangement of proper direction, management, supervision and control. Regulators, including the SRA, are expected to issue updated guidance on what constitutes adequate oversight in these circumstances.
The decision restores long standing practice, but this should not necessarily be taken as a green light to law firms to revert to how they handled litigation matters pre-Mazur. The judgment underscores the need for structured and meaningful supervision whenever the conduct of litigation is delegated to unauthorised persons. It is predicted that the regulators will likely expect additional supervisory measures to be put in place in some cases.
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To discover more about how we can help your firm with compliance issues, please call 01509 214 999, send us an email or complete our free enquiry form.