LegalAI[Space]

Drafting a response to the SRA or the FCA

An SRA letter asks eight numbered questions on supervision and AI use, with a firm deadline. The Regulator Response preset answers exactly what is asked, in the order asked, with a chronology and candid acknowledgement where the file has a gap.

Compliance and regulatory · COLP, risk partner, compliance lead, general counsel

Start freeBook a walkthrough
Agents
Research, Compliance & Regulatory
First draft
Two grounded research answers in under a minute each, then a first draft the COLP can work on the same day.

The problem

The failure mode with a regulator letter is not getting the law wrong, it is answering a different question from the one asked, missing one of several numbered points, or writing advocacy where a chronology was wanted.

  1. Step 01 of 06

    Open the matter

    The SRA letter, the firm's file notes, the client care letter under scrutiny, the complaints log entry and the firm's AI use policy are added.

    Matters · Project Halcyon · SPA warranties and disclosureOpen

    Project Halcyon: SPA warranties and disclosure

    Buy-side warranty review, disclosure analysis and cited due-diligence grid.

    Client
    Halcyon Bidco Ltd
    Reference
    WC-2026-0412
    Practice area
    Corporate / M&A
    Jurisdiction
    England and Wales
    Responsible partner
    E. Vance
    No conflict check on file.

    Chat, on this matter

    Compare warranties with the disclosure letter.

    Three high-priority exceptions require action: the unregistered charge, the change-of-control right and the tribunal claim.

    Send a message… (@ to mention tools)BalancedPrepare for
    1. 25 Aug

      Disclosure exceptions matrix

      Chat

    2. 21 Aug

      Disclosure exceptions matrix

      Run · completed · 560 credits

    3. 18 Aug

      Project Halcyon: Disclosure Letter

      Document · indexed

    4. 16 Aug

      Project Halcyon: Share Purchase Agreement

      Document · indexed

    5. 4 Aug

      Matter opened

      Opened

  2. Step 02 of 06

    Check what is engaged

    Which parts of the SRA Standards and Regulations apply, and what the SRA has published on technology and COLP responsibility, come back with named publications and case references.

    Matters · 14 Rowan Court, Flat 9 · ResearchSources ranked
    Matter: 14 Rowan CourtEngland and WalesResearch Agent
     
    Prepare for: Court-Ready · Deliver as: Word

    Where we looked

    • 1Your documentsLease, demand, correspondence
    • 2Primary law3 statutes, 1 judgment
    • 3Regulators and the recordNothing needed
    • 4Web searchOff for this question

    Authorities · 4

    • 1

      Law of Property Act 1925, s 146

      c 20
      not yet checked
    • 2

      Housing Act 1996, s 81

      c 52
      not yet checked
    • 3

      Commonhold and Leasehold Reform Act 2002, s 168

      c 15
      not yet checked
    • 4

      Escalus Properties Ltd v Robinson

      [1996] QB 231 (CA)
      not yet checked

  3. Step 03 of 06

    Establish the chronology

    A dated chronology is built from the firm's own file notes, flagging a gap in the record rather than leaving it for the regulator to notice.

    Matters · 14 Rowan Court, Flat 9 · ResearchSources ranked
    Matter: 14 Rowan CourtEngland and WalesResearch Agent
     
    Prepare for: Court-Ready · Deliver as: Word

    Where we looked

    • 1Your documentsLease, demand, correspondence
    • 2Primary law3 statutes, 1 judgment
    • 3Regulators and the recordNothing needed
    • 4Web searchOff for this question

    Authorities · 4

    • 1

      Law of Property Act 1925, s 146

      c 20
      not yet checked
    • 2

      Housing Act 1996, s 81

      c 52
      not yet checked
    • 3

      Commonhold and Leasehold Reform Act 2002, s 168

      c 15
      not yet checked
    • 4

      Escalus Properties Ltd v Robinson

      [1996] QB 231 (CA)
      not yet checked

  4. Step 04 of 06

    Draft the response

    The Compliance & Regulatory Agent runs with Prepare for: Regulator Response, answering each numbered question under its own heading, with the chronology and a candid note on the file gap.

    Agents · Contract Agent · New runMatter: Northgate · senior associate hire

    Agent

    Jurisdiction

    Prepare for

    Deliver as

    Instruction

    What should the agent look for?

    Documents

    Drop a contract, or pick one from the matter

    Also on the matter

    • Offer_letter_v3.pdf2 pages
    • Staff_handbook_2025.docx61 pages
    • Board_minute_14_Aug.pdf3 pages
    Platform model · zero data retention · audit register on

  5. Step 05 of 06

    Attach the register as an annex

    A printable audit bundle for the relevant period covers runs, verification results, sharing, documents, members and conflict checks.

    Audit register · Calder & Finch LLP · last 24 hours
    5 of 8 entries · digest sha-256
    TimeWhoTypeEntryMatter
    09:36j.okaforDocumentDisclosure_letter_v4.docx uploaded · 18 pagesHAL-2026-0031
    09:30e.vanceConflict checkConflict check on open · no matches across 38 mattersRC-2026-0009
    09:12adminMemberp.hartley added · role: Associate · 4 mattersWorkspace
    08:55r.chenRunDue Diligence Agent · review grid · 12 documentsHAL-2026-0031
    08:40r.chenVerificationVerify all · 6 authorities · 6 verifiedHAL-2026-0031
    Exports carry a content digest so a reviewer can confirm nothing was edited after the fact.

  6. Step 06 of 06

    Sign off

    The COLP works through the draft as a first draft, not a submission, and the managing partner signs off before it is downloaded.

    Agents · Contract Agent · Employment Contract Compliance ReviewCompleted
    6 items need your confirmation14 authorities · Where we looked

    Senior Associate Employment Contract: English Law Review

    Summary

    1. 1.

      Clause 9(c), non-competeHigh

      The 12-month prohibition on working for any law firm anywhere in the UK, Ireland or EU, in any capacity, is almost certainly wider than reasonably necessary and therefore unlikely to be enforceable.

      Tillman v Egon Zehnder Ltd [2019] UKSC 32
    2. 2.

      Clause 11, data and monitoringHigh

      Blanket contractual consent is not an adequate basis for general employment processing, special-category data or unrestricted monitoring.

      UK GDPR, Arts 6 and 9
    3. 3.

      Clause 4, holiday carry-overHigh

      The unconditional five-day cap conflicts with mandatory carry-over rights where sickness, statutory leave or employer failure prevents leave being taken.

      Working Time Regulations 1998, regs 13 to 13A

A document, not a transcript.

  • A numbered draft answering each question in the order the regulator asked it.
  • A dated chronology built from the firm's own file notes, with any gap acknowledged and the remediation dated.
  • References to the specific SRA Code provisions and named SRA publications engaged.
  • A printable audit bundle with a content digest, attachable as an annex.

Authorities it checks

  • SRA Code of Conduct for Solicitors, RELs and RFLs
  • SRA Code of Conduct for Firms
  • SRA Risk Outlook report on the use of artificial intelligence in the legal market (November 2023)
  • SRA thematic review of compliance officers (December 2025)
  • SRA guidance update on new technology and COLP responsibility (February 2026)
  • Ayinde v London Borough of Haringey; Al-Haroun v Qatar National Bank (Divisional Court, June 2025)
Every source it may cite

What it does not do

  • It does not submit the response. The draft is worked by the COLP and signed off by the managing partner before anything is sent.
  • It does not soften the acknowledgement of a file-note gap; the instruction is to state it and set out the remediation with dates.
  • The bundle carries a content digest, not a compliance certificate and not a tamper-evident hash chain.

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