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Internet and electronic communications—checklist

Internet and electronic communications—checklist Required document or action Compliant? 1 Do you have a written Policy on internet, email and communications describing permitted and prohibited use of:—the internet—your electronic communications system (emails and telephone)? 2 Do you have a Policy on social media? 3 Do you have a separate Policy—data protection covering any data processing activities that may arise from use of the internet and your electronic communications system? 4 Do you intend to monitor how your staff use the internet and/or your electronic communications system? See Practice Note: Monitoring staff, IT and communications systems in the workplace. 5 If so, have you conducted a data protection impact assessment (see subtopic: Data protection impact assessments—DPIAs)? 6 Do any of your monitoring activities amount to intercepting an electronic

Website terms and conditions for supply of services to consumers—checklist

Website terms and conditions for supply of services to consumers—checklist This Checklist sets out the essential points that should be considered when drafting or updating online terms and conditions for the supply of services to consumers. It should be used where a lawyer wants to make sure that such terms and conditions comply with consumer protection legislation (and any guidance issued under it). This Checklist should be used in addition to the following: • Key consumer information requirements—checklist • Information requirements under the Consumer Contracts (Information, Cancellation and Additional Charges) Regulations 2013—checklist • Consumer cancellation rights under the Consumer Contracts (Information, Cancellation and Additional Charges) Regulations 2013—Services—Flowchart • General information to be disclosed by e-commerce websites—checklist • Drafting consumer contracts—checklist For a discussion on the key legal issues to consider when designing and developing a business-to-consumer (B2C) e-commerce website for trading with consumers, see Practice Note: Business to consumer e-commerce—legal issues. Introduction Businesses that transact with consumers are subject to more onerous legislative requirements and, consequently, need to pay close...

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Managing conflicts of interest in pensions

Managing conflicts of interest in pensions THIS PRACTICE NOTE APPLIES TO TRUST-BASED OCCUPATIONAL PENSION SCHEMES Legal requirements in relation to conflicts of interest Pension scheme trustees have a duty to act in the best interests of the scheme's beneficiaries. However, trustees may owe duties to other parties or have personal interests which conflict with that duty. It is a general principle of trust law that trustees should not put themselves in a position where their duty to act in the best interests of beneficiaries conflicts with duties that they owe to other parties or with their personal interests. If trustees make decisions while subject to a conflict of interest that has not been appropriately managed, there is a risk that those decisions may be challenged by scheme members or overturned by the courts. It is important that the members of a scheme should perceive a conflict or potential conflict as having been properly managed. The directors of a company that acts as a trustee of a...

Preparing for the auditors—in-house lawyers

Preparing for the auditors—in-house lawyers One of the key dates in your organisation’s calendar is the date of the annual audit. An important part of the auditors’ role is to ensure that your organisation’s processes are fit for purpose. Central to that is your organisation’s approach to legal matters and legal risk. As an in-house lawyer, you need to prepare for the auditors’ visit because inevitably they will want to meet with you. While each audit firm has its own standard set of questions for in-house lawyers, the questions tend to follow certain themes, eg: • your risk register • litigation • applicable law and regulation • contracts • intellectual property (IP) • legal work process • your knowledge and experience Since joining your organisation, you have hopefully had the opportunity to meet with the key directors and heads of function. Those meetings will have given you the opportunity to find out more about many of the issues the auditors will be interested in. See Practice...

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Strategy—action plan and timeline

Strategy—action plan and timeline Person leading strategy review: [insert name] (strategy lead) Coordinator: [insert name of a person who will assist with coordination] Steering group: [insert names of personnel responsible for direction of strategy implementation] Step number Step Actions Timeline 1 Start strategic review process Fix a date for a strategy away day (allow at least 12 weeks’ notice).Discuss and agree:—who will lead the process—who will attend the strategy away day (‘delegates’)—whether an external facilitator is requiredBook a venue.Complete the ‘Timeline’ section in the remainder of this plan.Start to complete Precedent: Strategy away day—logistics planner. N/A (but you should start the process at least 14 weeks before the final strategy is required) 2 Initial communication and calendar bookings Book services of external facilitator (if using) and agree timelines, processes and outputs.Inform all delegates of the date of the strategy away day—see Precedent: Strategy away day—itinerary.Ensure the date is in all delegates’ calendars.Update Precedent: Strategy away day—logistics planner. [Insert date (at least 10 weeks before strategy away day)] 3 Conduct...

Sanctions breach response form and action plan

Sanctions breach response form and action plan 1 General information Date [Insert date] Name of person completing this response form and action plan [Insert name] Date sanctions breach report form received [Insert date ] Name of person who submitted the sanctions breach report form [Insert name] [Customer OR Client] name and reference(If applicable) [Insert name and reference] 2 Investigation and result Have you investigated the circumstances as set out in the breach form?Set out steps taken to investigate the circumstances ☐ Yes☐ No[[Insert details]] Has an actual breach been identified? ☐ Yes—continue to section 3☐ No—continue to section 4.1 and explain in detail in the conclusion why no breach has occurred 3 Actions following breach Guidance: once a breach has been identified it is important to take the necessary steps to contain it and to assess the possible consequences following the breach. 3.1 Immediate steps and detailed assessment Has the transaction been suspended? ☐ Yes☐ No—provide details[[Insert details]] Ensure you do not return the funds to the sanctioned entity or...

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What is an approved reporting mechanism (ARM)?

What is an approved reporting mechanism (ARM)? What is an approved reporting mechanism? Assimilated Regulation (EU) 600/201 (UK MiFIR) requires investment firms that execute transactions in financial instruments to report details of those transactions to the Financial Conduct Authority (FCA) as quickly as possible, and not later than the close of the following working day. Transaction reports can be made either by the investment firm itself, an approved reporting mechanism (ARM) acting on its behalf or by the trading venue on which the transaction was executed. An ARM is defined as a person authorised under the Data Reporting Services Regulations 2024, SI 2024/107 (DRS Regulations 2024) to provide the service of reporting details of transactions to the FCA on behalf of investment firms. ARMs, together with approved publication arrangements (APAs) and consolidated tape providers (CTPs), are referred to as data reporting services providers (DRSPs). For detailed information, see Practice Note: UK data reporting services providers — The UK DRSP regime. What operating requirements apply to ARMs? The operating requirements for...

Can a limited partner of a private fund limited partnership (PFLP) also be the sole director and shareholder of the PFLP's general partner?

Can a limited partner of a private fund limited partnership (PFLP) also be the sole director and shareholder of the PFLP's general partner? For the purposes of this Q&A, it is assumed that: • the relevant private fund limited partnership (PFLP) is established in England • the PFLP’s general partner is appointed as the relevant authorised person to manage the PFLP under the Financial Services and Markets Act 2000 (FSMA 2000) • the PFLP is a collective investment scheme (CIS) as defined in FSMA 2000, s 235 Limited liability status Where a limited partner of a PFLP also serves as the sole shareholder and director of the PFLP’s general partner (GP), this may have an impact on the limited liability status of the limited partner concerned. A key feature of limited partnerships, including PFLPs, is that their limited partners enjoy limited liability status, provided that such limited partners do not participate in the management of the limited partnership business. Where the limited partner in question is the sole shareholder and...

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Commission launches strategy to strengthen EU water resilience

The European Commission has adopted the European Water Resilience Initiative to bolster water security and reduce risks associated with water scarcity, pollution, and climate-induced disruptions across the European Union. In a Communication issued by the Commission, the strategy sets out actions to modernise water management, improve efficiency, and promote circularity in water use across key sectors. This follows mounting concerns over the rising frequency and intensity of droughts, floods, and pollution events, which pose risks to public health, food supply, biodiversity, and industrial competitiveness.

IPO transformation programme—insights from the government’s second consultation response

IP analysis: The UK Intellectual Property Office (IPO) is undergoing a major transformation aimed at creating a unified, digital IP service covering patents, trade marks, designs and tribunal functions. As part of this long-term programme, the IPO launched a second public consultation in 2023 to inform future changes in how trade marks, designs and IPO tribunal services will be administered. The government’s response to this consultation, published on 10 April 2025, sets out the next steps for reform and outlines several legislative and procedural updates. For IP practitioners, the proposals carry several practical implications that will affect portfolio management, filing strategies and dispute resolution. This News Analysis considers the background to the consultation, highlights the key outcomes from the government’s response, and sets out what we know about the road ahead. It also offers some practical guidance for advising clients as they prepare for the upcoming changes in service delivery and legal practice. Written by Vincent Liu, associate at JMW Solicitors LLP.