March 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 law firms
Summary on the UK Sanctions List Search Tool User Guide
Thursday 26 March 2026
The UK Sanctions List search tool enables users to identify individuals, entities and ships that are subject to UK sanctions (“designated persons” and “specified ships”). The tool searches the official UK Sanctions List and displays the information recorded for each entry. However, reliance on the tool does not remove the obligation to undertake appropriate due diligence, and users may still incur civil or criminal liability if sanctions breaches occur.
Who should read this item: MLCOs & MLROs of all law firms but especially those delivering services within the scope of the Money Laundering Regulations 2017
Key date: 5 May 2026
Digital Identity Verification
Tuesday 24 March 2026
The government has issued guidance which clarifies how digital verification services can be used to meet identity‑verification obligations under the Money Laundering Regulations 2017. Only digital verification services that are certified against the UK Digital Verification Services Trust Framework and listed on the official register can be treated as reliable, independent sources in accordance with R28.
Firms should be checking whether the systems they currently use or propose to use are certified. Uncertified tools and systems may still support onboarding but cannot, on their own, satisfy customer due diligence requirements and firms need to be aware of the risks and limitations this may pose.
A consultation on a national digital ID is also underway and responses can be submitted until 5 May 2026.
Who should read this item: All solicitors
Key date: 28 May 2026
Applications to remain on the roll
Friday 20 March 2026
As has now been the case annually since 2023, solicitors currently without a practising certificate are required to apply to remain on the roll. For 2026, all applications must be submitted by 28 May 2026. An administration fee of £10 will be applicable for all non-practising solicitors wishing to apply to remain on the roll. The application must be completed through mySRA, except where a reasonable adjustment is required.
Any solicitor not wishing to remain on the roll is not required to take any action, and will automatically be removed from the roll after 28 May 2026.
Who should read this item: Managers and officers of firms undertaking conveyancing, trusts or probate work, tax adviser services and/or otherwise interacting with HMRC on behalf of clients.
Key date: From 18 May 2026 to 17 August 2026
HMRC Tax Adviser Registration Update
Wednesday 18 March 2026
HMRC has issued further guidance on mandatory registration for firms that fall within its new definition of a “tax adviser.” From 18 May 2026, HMRC will introduce an online system for firms to apply for an Agent Services Account (ASA), with details of the process to be published in advance. Existing ASA holders do not need to re-register.
A tax adviser is broadly defined as any individual or organisation (including sole traders) that assists others with tax affairs for payment, including advising, acting as an agent, preparing documents relied on by HMRC, or interacting with HMRC by phone, post, email, online messages, or submissions. This includes law firms (e.g. those filing SDLT returns or otherwise engaging with HMRC on behalf of clients), even where tax work is incidental, and firms based outside the UK.
Registration is phased between May–November 2026, with a 3-month application window. Firms that fail to register may be barred from acting for clients and face penalties.
Who should read this item: Firms that do in-scope work
Independent AML Audits in Law Firms: what they are and why they matter
Tuesday 17 March 2026
Every law firm knows they need robust anti-money laundering controls in place. What is less clear for many firms is whether the controls they have are genuinely working in practice.
The SRA expects firms to be able to demonstrate that compliance forms part of daily operations, not simply something recorded in written procedures. That is where a Regulation 21 audit comes in.
Regulation 21 of the MLR 2017 requires firms, where appropriate, to establish an independent audit function to test their anti-money laundering framework. It is not simply a compliance formality but a structured, risk-based review and objective assessment of a firm’s systems, controls and procedures to ensure that they are effective, properly embedded and consistently applied. It is not enough to have carefully drafted policies sitting on a shelf, firms need to be able to prove their policies can stand up to scrutiny in real client matters.
Contact us
To discuss how we can assist your firm meet the AML regulations, including preparing and updating a Firm Wide Risk Assessment, conducting an Independent AML audit (Regulation 21 audit), drafting compliant policies and procedures and providing AML training to your staff please get in touch by emailing consultants@dglegal.co.uk or by calling 01509 214 999.
Who should read this item: Firms that offer services in: wills, family, employment and litigation.
Scope of AML regulated work in non-transactional legal services
Monday 16 March 2026
AML regulated work extends beyond transactional work and will include other legal services including trust creation or facilitation of tax advice even if ancillary to a larger, generally non-regulated area of practice. We have set out some common areas which would most likely fall within the scope of the Money Laundering Regulations 2017 (as amended) and require a firm to be authorised under those regulations. Any failure to seek appropriate authorisation is not only a criminal offence but it also subjects the firm to risk of severe disciplinary action by the SRA. A firm may also find that it is not insured for those services where this constitutes a delivery of unregulated/unauthorised legal work.
Who should read this item: All firms
Key Date: 6 April 2026
Employment Rights Act
Friday 13 March 2026
The Employment Rights Act 2025 became law on 18 December 2025. A few employment law changes have already been implemented but more substantial changes will take effect from 6 April 2026, with other updates scheduled for later in 2026 and 2027. In particular, these changes will introduce a number of additions and amendments to existing legislation, including the Employment Rights Act 1996.
We would urge clients to ensure that they are fully aware of the changes which may impact on them as employers (or employees as the case may be) and, where necessary, take adequate advice from an employment law specialist about any steps they may need to take.
If you don’t have access to an HR or employment law advisory service, there is a wealth of information publicly available including employment law training resources and guidance.
Who should read this item: Barristers
Key Date: 31 March 2026
BSB Practising Certificate Renewals
Thursday 12 March 2026
All barristers must complete the annual renewal of their practising certificates, known as Authorisation to Practise (AtP), by 31 March 2026. All renewals must be completed through MyBar.
You must hold a valid practising certificate to hold yourself out as a barrister in connection with the supply of legal services or to undertake any reserved legal activities. Failure to complete the renewal process by 30 April 2026 (i.e. allowing a month’s grace period) will result in you no longer appearing on the Barristers’ Register and losing your authorisation to practise.
Contact us
To discuss how we can help you and your entity / Chambers with compliance issues please get in touch by emailing consultants@dglegal.co.uk or by calling 01509 214 999.
Contact Us
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.