Resource kit
Starting a law firm: operational checklist
Authorisation, roles, insurance, records and continuity signposts. Use it when a new England and Wales practice is planned.
Boundary: this is operational signposting, not legal, regulatory, tax, insurance or business advice.
Operational guidance, not legal advice. No confidential information is needed. Download the original PDF guide (original ClickoAI edition, v1, 18 August 2026).
1. Frame the decision
Treat authorisation, insurance, client money, systems and continuity as separate workstreams with specialist owners.
Specific focus: use regulator guidance and advisers to close each workstream before opening.
Questions to answer:
- Which authorisation route?
- Which services and reserved activities?
- Who holds required roles?
- What must exist before opening?
Avoid:
- assuming authorisation is automatic
- systems before services
- opening without continuity
2. Control sheet
Treat a blank evidence field as a reason to pause, not a reason to guess. Record sources and owners before changing the workflow.
| Area | Evidence to collect | Pass condition |
|---|---|---|
| Authority | Entity and application | Route confirmed |
| Roles | Managers, COLP and COFA | Approvals clear |
| Insurance | Cover and timing | Evidence in place |
| Operations | Records and complaints | Routes documented |
| Continuity | Absence and closure | Clients protected |
Fail closed: if an input, owner or approval is missing, record the gap and keep the affected step outside the proposed change.
3. Working record
Complete this page with counts, dates and named sources. Do not include client names, matter names, contract text or privileged material.
| Field | Evidence or answer |
|---|---|
| Entity | |
| Authorisation | |
| Activities | |
| Role holders | |
| Insurance | |
| Opening date |
Evidence quality check:
- The source is named and dated.
- An estimate is labelled as an estimate.
- The owner can reproduce the measure.
- The same method can be used after a change.
4. Decision record
Select the outcome that the evidence supports. A stop or no-change decision is valid.
- Stop: a required source, owner or approval is missing.
- Fix: repair the underlying route before adding technology or cost.
- Test: run one bounded change with a baseline and review date.
- Proceed: adopt only the option supported by the recorded evidence.
| Decision field | Record |
|---|---|
| Chosen outcome | |
| Reason and evidence | |
| Owner and approvers | |
| Review or expiry date |
Related pages: the PII renewal checklist (/resources/solicitors-pii-renewal-preparation/) and the guides hub (/law-firm-guides/). Questions: /fit-call/.
Primary sources
- SRA - Firm-based authorisation: sra.org.uk
- SRA - Indemnity Insurance Rules: sra.org.uk
- SRA - Accounts Rules: sra.org.uk
- SRA - Client care letters: sra.org.uk
Source status: links checked 15 September 2026 (all four verified live 200; legacy PDF named "SRA: Apply for authorisation of a new firm" - linked to the owning firm-based-authorisation hub). Confirm the current version and obtain appropriate professional advice before relying on regulated, contractual, privacy, security, insurance, financial or wellbeing conclusions.
MARGO LEGAL LTD, company number 17322603. Registered in England and Wales. Registered office: 66 Paul Street, London, England, EC2A 4NA. Originally published as a PDF (v1, 18 August 2026); converted to HTML 15 September 2026.