For law firms, technology is fundamental to protecting client confidentiality, maintaining business continuity and meeting regulatory obligations.
Every email, document, remote connection and cloud application forms part of a firm’s wider risk profile.
While the Solicitors Regulation Authority (SRA) does not prescribe specific technologies, it does require firms to have effective systems and controls in place to safeguard client information, manage cyber risk and deliver legal services competently.
Combined with UK GDPR, increasing cyber threats and the growing adoption of artificial intelligence (AI), this places IT firmly at the centre of compliance.
The challenge is that compliance cannot be achieved through a single product or annual audit. It requires an ongoing approach to governance, security, resilience and user awareness.
Use this practical checklist to assess whether your firm’s IT environment supports SRA compliance and identify any areas that may require attention.
Why IT Matters With SRA Compliance
The SRA expects firms to protect confidential information, manage operational risk and maintain effective governance.
Technology underpins each of these responsibilities, from securing client communications to ensuring business continuity during a cyber incident or system failure.
Rather than treating compliance as a separate regulatory exercise, firms should view IT as a critical part of organisational risk management.
A well-managed IT environment not only supports compliance but also improves productivity, protects reputation and strengthens client confidence.
1. Cyber Security Checklist
Cyber attacks remain one of the greatest risks facing legal practices. Law firms routinely handle highly confidential commercial, financial and personal information, making them attractive targets for cyber criminals.
Effective cyber security, therefore, requires multiple layers of protection working together rather than relying on a single product or technology.
Every firm should ensure multi-factor authentication (MFA) protects user accounts, particularly Microsoft 365 and remote access services.
Enterprise-grade endpoint protection, advanced email security and properly configured firewalls should work alongside continuous monitoring to identify suspicious activity before it becomes a serious incident.
Vulnerability assessments and penetration testing should be carried out regularly to identify weaknesses before attackers do, while software updates and security patches should be applied promptly to reduce exposure to known vulnerabilities.
Firms should also have a documented cyber incident response plan, allowing key personnel to respond quickly and effectively should an attack occur. Many practices also choose to demonstrate their commitment to cyber security through recognised standards such as Cyber Essentials or Cyber Essentials Plus.
2. Access Control Checklist
Protecting confidential client information starts with ensuring only authorised users can access it.
Check that:
- Role-based permissions are applied across systems.
- Administrative accounts receive additional protection.
- Joiner, mover and leaver processes are documented.
- User permissions are reviewed regularly.
- Dormant accounts are removed promptly.
- Conditional Access policies protect Microsoft 365.
- Mobile devices are centrally managed.
3. Data Protection Checklist
Client confidentiality sits at the heart of legal practice. Protecting information requires far more than simply preventing unauthorised access; firms must ensure data is managed securely throughout its lifecycle.
Sensitive information should be encrypted both while stored and when transmitted. Secure document management systems should provide version control, audit trails and appropriate access controls, while clearly defined retention policies ensure information is retained only for as long as necessary. Secure disposal procedures should exist for both physical devices and digital data, preventing confidential information from being inadvertently exposed.
Modern information governance platforms such as Microsoft Purview can also help firms classify sensitive information, apply retention policies and reduce the risk of inappropriate sharing. Regular reviews of user permissions and audit logs provide additional assurance that confidential information remains appropriately protected.
4. Backup And Business Continuity Checklist
Every law firm should assume that systems will eventually fail. The question is how quickly they can recover.
Review whether you have:
- Automated daily backups.
- Backup testing completed regularly.
- Off-site or cloud backup storage.
- A documented disaster recovery plan.
- Defined Recovery Time Objectives (RTOs).
- Defined Recovery Point Objectives (RPOs).
- Regular disaster recovery testing.
Discover more about the considerations of business continuity and disaster recovery in our video.
5. Microsoft 365 Security Checklist
Microsoft 365 has become the foundation of daily operations for many law firms, making it one of the most important areas to secure. Because email, documents, identity management and collaboration all reside within the platform, a compromised Microsoft 365 account can have significant operational consequences.
Security should begin with multi-factor authentication for every user and extend through Microsoft Entra ID Conditional Access policies that verify users based on identity, location and device. Microsoft Defender for Office 365 provides enhanced protection against phishing emails, malicious attachments and other common threats, while secure SharePoint and OneDrive sharing policies help prevent confidential documents from being accessed by unauthorised individuals.
Firms should also disable legacy authentication methods wherever possible and regularly review their Microsoft Secure Score to identify opportunities for continual improvement. Keeping Microsoft 365 security aligned with Microsoft’s latest recommendations helps organisations remain resilient as threats evolve.
6. Governance And Compliance Checklist
Technology alone will never achieve compliance. Effective governance depends upon documented policies, clear responsibilities and an informed workforce that understands its role in protecting client information.
Every law firm should maintain up-to-date information security and acceptable use policies that reflect current working practices. Staff should receive regular cyber security awareness training rather than relying solely on induction sessions, with phishing simulations used to reinforce good habits and identify potential vulnerabilities.
Risk assessments should be reviewed periodically, particularly following organisational changes, acquisitions or the introduction of new technologies. Supplier security should also form part of governance processes, ensuring external providers continue to meet the firm’s standards throughout the relationship. Collectively, these measures help demonstrate that cyber risk is actively managed rather than simply reacted to.
7. Operational Resilience Checklist
The SRA expects firms to manage operational risks that could affect clients.
Assess whether your IT operation includes:
- 24/7 infrastructure monitoring
- Proactive maintenance
- Regular patch management
- Network monitoring
- Resilient internet connectivity
- Monitoring of legal applications
- Clearly defined IT support service levels
Operational resilience is ultimately about ensuring legal professionals can continue delivering services regardless of technical disruption.
By identifying issues before they become outages, maintaining critical infrastructure proactively and establishing clear recovery procedures, firms reduce downtime, improve client service and demonstrate that operational risk is being effectively managed.
As regulatory expectations continue to evolve, resilient IT operations are becoming just as important as strong cyber security.
8. Device Security Checklist
With hybrid working now commonplace, endpoint security is essential.
Check that:
- All laptops are encrypted.
- Unsupported operating systems have been removed.
- Asset registers are maintained.
- Automatic updates are enabled.
- USB device controls are implemented where appropriate.
- Wireless networks are securely configured.
- Guest Wi-Fi is separated from internal systems.
9. Third-Party Risk Checklist
Few law firms operate entirely independently of external technology providers. Cloud platforms, software vendors, managed service providers and specialist legal applications all play an important role in delivering modern legal services. However, responsibility for protecting client information remains with the firm itself.
Before engaging any supplier, appropriate due diligence should assess their security controls, certifications, contractual commitments and approach to data protection. Data processing agreements should clearly define responsibilities where personal information is involved, while third-party access to internal systems should be tightly controlled and regularly reviewed.
Ongoing supplier reviews are equally important. Technology providers evolve, as do regulatory requirements and cyber threats. Periodically reassessing suppliers helps ensure they continue to meet the firm’s security and compliance expectations.
10. Artificial Intelligence (AI) Governance Checklist
Artificial intelligence is rapidly transforming legal services by helping professionals summarise documents, assist with research and improve productivity. However, the SRA has made it clear that firms remain fully responsible for the quality, confidentiality and regulatory compliance of any work produced with AI assistance.
Before introducing AI into everyday practice, firms should establish a formal governance framework. This should include an approved AI usage policy, clearly defined responsibilities for oversight and appropriate risk assessments before new AI tools are deployed. Staff should receive training on both the opportunities and limitations of AI, understanding when it is appropriate to use and, equally importantly, when human judgement must take precedence.
Confidential or privileged client information should never be entered into public AI services without appropriate safeguards. AI suppliers should undergo the same level of security and compliance assessment expected of any other technology provider. Any legal advice, client correspondence or documentation generated with AI assistance should be independently reviewed before use, ensuring accuracy, confidentiality and professional standards are maintained.
Used responsibly, AI can significantly improve efficiency across legal practices. However, effective governance is essential to ensure innovation enhances compliance rather than creating additional regulatory risk.
A Final Compliance Checklist
Once you’ve worked through each section, ask yourself the following questions:
- Could we recover quickly from a cyber attack?
- Are we confident confidential client information is protected?
- Can we demonstrate appropriate IT governance to the SRA?
- Are our employees following secure technology practices?
- Are we managing AI responsibly?
- Would our systems continue supporting fee earners during a significant disruption?
If any of these questions are difficult to answer confidently, it may indicate gaps in your current IT strategy or governance framework.
SRA IT Compliance Is an Ongoing Process
SRA compliance should never be viewed as a one-off project. New cyber threats emerge daily, Microsoft continues to strengthen its security capabilities, AI technologies are evolving rapidly and regulatory expectations continue to develop alongside them.
The most resilient law firms regularly assess their technology against recognised best practice, review emerging risks and strengthen controls before vulnerabilities become incidents. This proactive approach not only supports regulatory compliance but also protects client confidentiality, improves operational resilience and strengthens the firm’s reputation.
Technology should ultimately enable lawyers to work securely, efficiently and confidently while demonstrating the governance and professionalism expected by both clients and the SRA.
If your firm has not recently reviewed its IT environment against current security, governance and operational resilience best practices, now is the ideal time to undertake a comprehensive assessment. Akita helps law firms strengthen cyber security, modernise Microsoft 365, improve operational resilience and develop technology strategies aligned with SRA IT compliance expectations, enabling legal professionals to focus on delivering exceptional service to their clients:
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