The SRA Code of Conduct contains outcomes which when achieved will benefit clients and the public at large.
The outcomes are mandatory and describe what firms and individuals are expected to achieve in order to comply with the SRA Principles. The Outcomes support the SRA's outcomes-focused approach to regulation.
Sustainable business and environmental, social, governance (ESG)—introduction for companies and advisors Key terms The terms ‘responsible/sustainable business, ‘corporate responsibility’ (CR) or ‘corporate social responsibility’ (CSR), and ‘environmental, social, governance’ (ESG) are used by business and lawyers in various different contexts. However, for the most part they are all used to convey a business behaving in a responsible manner as part of its day to day activities. Many companies are realising that compliance with national, state and local laws and regulations may no longer provide sufficient protection from legal, regulatory or reputational risk and that falling short of the growing requirements in this area can have financial implications. In this note we will refer to ‘sustainable business’ as the umbrella term. For more on terminology, see Precedent: Sustainability definitions (The Chancery Lane Project). What is ‘sustainability’? ‘Sustainability’ is often used alongside terms like ‘environmental sustainability’ or green business. There is no single definition of ‘sustainability’ although many organisations and materials will use the Brundtland Commission Definition of sustainable development to try and define the term. However, the Brundtland Commission Definition does not state how to make sustainability operational. Sustainability is about behaving in a way that is continued or sustained. It is achieved operationally by recognizing the responsibility to integrate economic, environmental and social outcomes into strategic decision-making. The UN’s Sustainable Development Goals (SDGs), stemming from the 2030 Agenda
Directive (EC) No 2009/128 on the Sustainable Use of Pesticides—snapshot Title data-ln-csis="428170" data-ln-lnis="61JH-9VR3-GXFD-82XS-00000-00">Directive 2009/128/EC of the European Parliament and of the Council of 21 October 2009 establishing a framework of Community action to achieve the sustainable use of pesticides Entry into force 25 November 2009 Transposition deadline 26 November 2011 Implementing legislation in England and Wales The Plant Protection Products (Sustainable Use) Regulations 2012, SI 2012/1657 Subject Sustainable use of pesticides Brexit 11 pm (GMT) on 31 December 2020 marked the end of the Brexit transition/implementation period entered into following the UK’s withdrawal from the EU. At this point in time (referred to in UK law as ‘IP completion day’), key transitional arrangements came to an end and significant changes began to take effect across the UK’s legal regime. Status of EU Directives following Brexit Retained EU law is a legal concept describing EU-derived rights and legislation preserved by the UK following Brexit. It is a defined term under the European Union (Withdrawal) Act 2018, and the collective term given to the body of EU-derived laws the UK preserves and converts into domestic UK law, effective on the repeal of the European Communities Act 1972. EU directives are not within the scope of retained EU law, as they do not have direct effect in the UK. Instead certain ‘EU derived domestic legislation’ implementing
Use of attestations by the FCA and the PRA Financial Services Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and, where available, Decision Notices from 2014 to 2022. The Database, available here, may be searched and filtered by rule breach, keyword, sector, date, seriousness, aggravating and mitigating factors, financial penalty, and other actions such as appeals. What is an attestation? The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) may request an attestation from a firm where they are concerned about (or investigating) an actual or potential breach of regulatory requirements. Broadly speaking, an attestation is a request from the regulator to an individual at a regulated firm (usually a member of management who is also a Senior Manager) that they provide a signed, written confirmation of the firm’s compliance with a regulatory requirements in relation to a particular aspect of the business. The FCA issued guidance in the form of a letter to the FCA Practitioner Panel in August 2014 on the use of attestations (the Attestation Letter), to clarify its views on when it expects to use attestations and the outcomes it wants to achieve. The PRA also uses attestations as a routine supervisory tool (generally using standard forms), although it has stated that it can require attestations as to compliance with specific
Introduction to utilities contracts procurement Brexit impact—public and utilities procurement The UK public and utilities procurement regime derives from EU public procurement laws, and was therefore impacted by the UK’s withdrawal from the EU; but only to a limited extent. In all material respects, the public procurement regime in the UK continues with minimal changes. The Public Procurement (Amendment etc.) (EU Exit) Regulations 2020 amended and revoked provisions of public/utilities procurement legislation in order to address practical issues arising due to the UK’s withdrawal from the EU, ensuring that the legislation would continue to operate effectively after the UK left the EU and the associated transitional arrangements came to an end at the end of the Brexit transition/implementation period at 11 pm on 31 December 2020 (IP completion day). These amendments formed part of the wider domestic legislative project in connection with Brexit, introduced under the European Union (Withdrawal) Act 2018 (EU(W)A 2018). Some of these amendments are subject to overriding requirements in line with the UK’s international obligations, for instance under relevant separation provisions of the Withdrawal Agreement, or under the procurement provisions within the EU-UK Trade and Cooperation Agreement (TCA). For background reading, see Practice Notes: Brexit—key legislation explained and Brexit—the implications for public procurement. The aim of the amendments to the various pieces of
The Paris Agreement 2015—snapshot Title Paris Summit (COP21/CMP11) Location Paris, France Date 30 November–12 December 2015 Subject Climate change, International environmental law, climate targets Background on the UNFCCC The United Nations Framework Convention on Climate Change (UNFCCC) is an international treaty agreed at the 1992 ‘Earth Summit’ in Rio de Janeiro. Its objective is to stabilize greenhouse gas concentrations in the atmosphere at a level that would prevent dangerous levels of man-made climate change. There are 197 signatories (referred to as Parties) to the UNFCCC. The initial objective of the UNFCCC was to establish national benchmark figures for greenhouse gas emissions, with a base year of 1990. The Conference of the Parties (COP) is the decision-making body of the Convention. It meets annually, unless Parties decide otherwise, to assess progress in dealing with climate change. For more information, see Practice Note: United Nations Framework Convention on Climate Change 1992—snapshot. The Paris Agreement, entered into at the Paris Summit in 2015, was the culmination of years of global effort by the Parties to the UNFCCC to agree a binding commitment on the implementation of the UNFCCC and the Kyoto Protocol (discussed below, see: The Kyoto Protocol). Some of the key UN climate change conferences on the development of the Paris Agreement include: • COP15 in Copenhagen, 2009 • COP16 in Cancun, 2010 • COP17 in Durban, 2011 • COP18 in
Coronavirus (COVID-19)—implications for consumer credit, overdrafts and mortgages In order to minimise the medium- and long-term economic impacts of the efforts taken to contain the coronavirus (COVID-19) pandemic, EU Member States have implemented a broad range of support measures. These measures include, in many instances, some forms of moratorium on payments of credit obligations, with the aim of supporting the short-term operational and liquidity challenges faced by borrowers. In the UK, lenders and the Financial Conduct Authority (FCA) have taken measures to support both consumers and businesses during the coronavirus pandemic. The FCA has published temporary guidance designed to enable firms to act quickly to deliver immediate and temporary support to their customers, at unprecedented scale, as the coronavirus and the government’s response to it evolves. This temporary support is designed to help consumers bridge the crisis and get back on their feet. This Practice Note covers the temporary guidance issued by the FCA setting out how it expects firms to support consumer credit, overdraft and mortgage customers who are facing temporary payment difficulties because of the exceptional circumstances arising out of coronavirus. For consumer credit customers, this temporary support is primarily through a payment deferral. This applies to: • credit cards (including store cards and catalogue credit) • personal loans • motor finance • high-cost short-term credit (HCSTC) • rent-to-own (RTO), pawnbroking and buy-now pay-later (BNPL) For overdraft customers, the
Drone regulation—Switzerland—Q&A guide This Practice Note contains a jurisdiction-specific Q&A guide to drone regulation in Switzerland published as part of the Lexology Getting the Deal Through series by Law Business Research (published: January 2022). Authors: gbf Attorneys-at-law—Philippe Wenker 1. What basic rules govern the operation of remotely piloted aircraft and unmanned aircraft (drones) in your jurisdiction? Which regulatory bodies are charged with enforcing these rules? Although located in the centre of Europe, Switzerland is neither a member state of the European Union nor of the European Economic Area. However, in relation to aviation, the relevant EU legislation applies to the extent adopted by Switzerland on the basis of the Bilateral Agreement on Air Transportation of 21 June 1999 (as amended from time to time) between Switzerland and the EU. The same applies to the new European regulations on drones issued by the European Commission (namely Implementing Regulation (EU) 2019/947 on drone operation and the Delegated Regulation (EU) 2019/945 on drone manufacturing and selling requirements, supplemented by the related Acceptable Means of Compliance and Guidance Material (collectively the EU Drone Regulation). The EU Drone Regulation was supposed to be applicable in Switzerland as of 1 January 2021. However, in September 2020 a parliamentary motion was filed and approved by the Swiss Parliament, which instructs the Swiss Federal Council to exclude traditional model aircraft when adopting
The Network and Information Systems Regulations 2018 This Practice Note provides an overview of the Network and Information Systems Regulations 2018 (NIS Regulations), SI 2018/506 which implemented the Network and Information Systems Directive (the NIS Directive), Directive (EU) 2016/1148 in the UK. The NIS Regulations (as amended by various Brexit legislation) continue to apply in the UK. It discusses the background and purpose of the legislation and the obligations for operators of essential services (OESs) and relevant digital service providers (RDSPs) under the NIS Regulations and the associated Retained Regulation (EU) 2018/151 (Retained DSP Regulation), in relation to RDSPs. Background to the NIS Directive The NIS Directive (also known as the Cybersecurity Directive or Network and Information Security Directive) was adopted by the European Parliament on 6 July 2016. EU Member States (which at the time included the UK) had until 9 May 2018 to transpose the directive into their national laws. The NIS Directive was a product of the EU’s Cybersecurity Strategy to create an open, safe and secure cyberspace and it represented the first EU-wide rules on cybersecurity. The primary aim of the NIS Directive was to protect core infrastructure and services by providing legal measures to ensure a high and consistent standard of security for network and information systems across the EU. The NIS Directive includes provisions to: • ensure
EU competition law and joint production agreements Joint production agreements, whereby two or more parties agree the terms under which a product may be produced, are capable of giving rise to significant benefits for consumers and markets. For example, by producing goods together, companies can save costs that can be passed on to customers. Producing jointly can also help companies pool their complementary skills and know-how, or jointly invest more than they would be able to individually, thus leading to improved product quality or variety. However, in certain circumstances joint production agreements can also give rise to serious competition law concerns, in particular where the parties have significant market power. What is a joint production agreement? Joint production agreements vary in form and scope, and can provide that production is carried out by only one party or by two or more parties jointly. Where production is carried out jointly by two or more parties, this can be by way of either a joint venture (ie a jointly controlled company) or under a looser form of cooperation, such as a so-called 'subcontracting agreement', which may be horizontal or vertical in nature. Under a horizontal subcontracting agreement, one party (the 'contractor') entrusts to another party operating at the same level of the market (the 'subcontractor') the production of a product. The parties need not be actual or potential competitors for the agreement
What is transfer pricing? Transfer pricing is a concept that refers to the pricing of goods, services, funds and tangible and intangible assets transferred or provided between associated parties. Since the prices are set with the mutual agreement of the associated parties, they may not be subject to normal market pressures that establish prices for similar transactions between third parties. Where there are cross-border transactions between associated parties, the price that is charged can affect the amount of tax that is paid in the UK, or the other jurisdiction in which the other relevant party to the said transaction is located. Transfer pricing rules in the UK and elsewhere require that transactions between connected parties should be recognised for tax purposes by applying the amount of profit (or loss) that would have arisen if the same transaction had been carried out by unconnected parties. This is referred to as the ‘arm’s length principle. The arm’s length principle is endorsed by the Organisation for Economic Co-operation and Development (OECD) and enshrined in the Associated Enterprises Article (article 9) of the OECD Model Tax Convention as the basis for the allocation of taxing rights in respect of business profits. Transfer pricing is usually seen as a cross-border tax matter, but the rules also apply to transactions between UK companies. A considerable amount of terminology is used in the field
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Part 26A restructuring plan Practice Statement Letter (PSL) IMPORTANT NOTICE FROM [insert name of Company] THIS LETTER IS IMPORTANT AND REQUIRES YOUR IMMEDIATE AND URGENT ATTENTION. IT CONCERNS A RESTRUCTURING PLAN PROPOSED BY [insert name of Company] PURSUANT TO PART 26A OF THE COMPANIES ACT 2006 WHICH MAY AFFECT YOUR LEGAL RIGHTS AND ENTITLEMENTS AND YOU MAY THEREFORE WISH TO TAKE APPROPRIATE LEGAL AND OTHER PROFESSIONAL ADVICE ON ITS CONTENTS. THE PROPOSED RESTRUCTURING PLAN APPLICATION IS EXPECTED TO BE CONSIDERED BY THE COURT AT A CONVENING HEARING ON [insert date of convening hearing] IN LONDON, UNITED KINGDOM. SPECIFIC DETAILS OF THE CONVENING HEARING (INCLUDING CONFIRMATION OF THE TIME) WILL BE PROVIDED TO ALL BONDHOLDERS (AS DEFINED BELOW) BY A SEPARATE NOTICE IN ADVANCE OF THE CONVENING HEARING. [BONDHOLDERS WILL ALSO BE ABLE TO ACCESS AND DOWNLOAD THE NOTICE AT THE FOLLOWING WEBSITE: [insert website details].] YOU ARE BEING CONTACTED AS [insert company name] BELIEVES YOU ARE A BONDHOLDER AND WILL THEREFORE BE AFFECTED BY THE PROPOSED RESTRUCTURING PLAN. THIS LETTER DOES NOT CONSTITUTE AN OFFER TO SELL OR THE SOLICITATION OF AN
Mobile application development agreement—pro-customer This Agreement is made on [insert date] (the Commencement Date) between the following: Parties 1 [insert supplier name] a company incorporated in England and Wales whose registered number is [insert company number] and whose registered office is at [insert registered office] (Supplier); and 2 [insert customer name] a company incorporated in England and Wales whose registered number is [insert company number] and whose registered office is at [insert registered office] (Customer), each of the Supplier and the Customer being a party and together the Supplier and the Customer are the parties. Background (A) The Supplier is [an experienced developer of mobile applications and] [insert the Supplier’s background details and the background to the relevant transaction]. (B) The Customer is [insert the Customer’s background details]. (C) The Supplier wishes to develop the Mobile App (as defined below) and the Customer wishes to engage the Supplier to develop the same on the terms of this Agreement. The parties agree: 1 Definitions and interpretation 1.1 Words shall have the meanings given to them in this Agreement, including without limitation as set out below: Acceptance • means the successful completion of all Acceptance Criteria for all Acceptance Tests; Acceptance Criteria • means, in relation to an Acceptance Test, the criteria which must be met for that Acceptance Test to be successfully completed as set out in Schedule 9; Acceptance Tests • means the mutually agreed tests in accordance
Special administration—special administrators’ progress report [investment bank name] (in special administration) [Joint] Special Administrators’ Progress Report for the six-month period [date] to [date] Notice: About this Report • This Report has been prepared by [names of special administrators], the Special Administrators of [investment bank name] (in special administration), solely to comply with their statutory duty under the Investment Bank Special Administration (England and Wales) Rules 2011, SI 2011/1301, r 122 to provide creditors and clients with an update on the progress of the special administration and for no other purpose. This Report is not suitable to be relied upon by any other person, or for any other purpose, or in any other context. • This Report has not been prepared in contemplation of it being used, and is not suitable to be used, to inform any investment decision in relation to the debt of or any financial interest in [investment bank name] (in special administration). • Any estimated outcomes for creditors and clients included in this Report are illustrative only and cannot be relied upon as guidance as to the actual outcomes for creditors, clients or other stakeholders. • Any person that chooses to rely on this Report for any purpose or in any context other than under the Investment Bank Special Administration (England and Wales) Rules 2011, SI 2011/1301, r 122 does so at its own risk.
Confidentiality and disclosure policy 2011 [Archived] Confidentiality and disclosure policy 1 Policy statement 1.1 It is the policy of [firm name] (‘the firm’) to conduct its business in compliance with the highest professional standards. We are committed to acting professionally, fairly and with integrity in all our business dealings and relationships. This document describes our approach to maintaining confidentiality of client information. 1.2 The purpose of this policy is to: 1.2.1 set out our responsibilities and the responsibilities of those working for us, in maintaining confidentiality of client information 1.2.2 provide information and guidance on how to recognise and deal with maintaining confidentiality of client information 1.3 In this policy 'third party' means any individual or organisation with which you come into contact during the course of your work with the firm. This includes potential, current and previous clients, suppliers, distributors, business contacts, agents, advisors, and government and public bodies including their advisors, representatives and officials, politicians, and political parties. 2 Responsibilities 2.1 The [conflicts and confidentiality partner OR compliance officer for legal practice (COLP)] is responsible for this policy and for supervising the firm’s confidentiality arrangements. If the [conflicts and confidentiality partner OR COLP] is unavailable and a response is required, you should contact [state who should be contacted eg their deputy or your line manager]. 3 Who is covered by this policy? 3.1 This policy applies to all individuals working at all levels including partners,
Attendance review meeting (ARM) plan—law firms Action Notes Check previous RTWI/ARM documentation for:—medical condition affecting the employee;—medical treatment being received;—details of medication being taken;—recommendations of the last RTWI/ARM;—arrangement of GP’s medical report;—arrangement of private medical examination;—recommendations of medical report/medical examination;—long-term prognosis of the medical practitioner;—reasonable adjustments
Strategy review forms summary 1 Vision/future Group Themes Partners [Insert a summary of the feedback from this group—see section 1 of Strategy review form: partners] 2 Key business challenges Group Themes Partners [Insert a summary of the feedback from this group—see section 2 of Strategy review form: partners] Operational heads [Insert a summary of the feedback from this group—see section 1 of Strategy review form—operational team leads] Legal team leads [Insert a summary of the feedback from this group—see section 1 of Strategy review form—legal teams] Other staff [Insert a summary of the feedback from this group—see section 1 of Strategy review form—all staff] 3 Culture & values Group Themes Partners [Insert a summary of the feedback from this group—see section 3 of Strategy review form: partners] 4 Governance & management Group Themes Partners [Insert a summary of the feedback from this group—see section 5 of Strategy review form: partners] 5 Services to clients Group Themes Partners [Insert a summary of the feedback from this group—see section 6 of Strategy review form: partners] 6 Risk management Group Themes Partners [Insert a summary of the feedback from this group—see section 7 of Strategy review form: partners] 7 Finance/profitability Group Themes Partners [Insert a summary of the feedback from this group—see section 8 of Strategy
Software support agreement—pro-customer This Agreement is made on [date] Parties 1 [Insert name of supplier], a company incorporated in [England and Wales] under number [insert registered number] whose registered office is at [insert address] (Supplier); and 2 [Insert name of customer], a company incorporated in [England and Wales] under number [insert registered number] whose registered office is at [insert address] (Customer), each of the Supplier and the Customer being a party and together the Supplier and the Customer are the parties. Background (A) The Supplier is [the licensor of certain software applications]. (B) The Customer is [insert details of Customer’s background/background to the relevant transaction]. (C) The Supplier has granted a licence to the Customer[, members of its group] [and certain authorised third parties] to use certain software applications and agrees to provide support and maintenance services for such software on the terms of this Agreement. The parties agree: 1 Definitions and interpretation 1.1 In this Agreement: Authorised Third Parties • means any third party (including agents and contractors) engaged to provide services to the Customer or to any Customer Affiliate including any supplier to whom the Customer or any Customer Affiliate has outsourced any part of its business; Business Day • means a day other than a Saturday, Sunday or bank or public holiday in England; Commencement Date • means the date of this Agreement; Confidential Information • means any and all confidential information (whether in oral, written or
Process management—step plan This Step plan links to Practice Note: data-ln-csis="394018" data-ln-lnis="649C-3BT3-CGX8-01C7-00000-00">Process management. Task Points to consider Actions ☐ Prioritise Legal department’s work according to what is strategic for the business A review of Legal department’s budget and activity will help you to assess how the legal team can work more effectively and achieve the right outcomes for the organisation. An understanding of your organisation’s long-terms goals and objectives will help you to ensure that Legal department can align its skills and resources to the organisation’s strategy. For more guidance take a look at:—Practice Note: Strategic alignment —Precedent: Strategic planning—step plan Which are the high-value activities that Legal department engages in, which are the low-value ones?Consider how to stop/outsource/re-process low-value activity.Is all the work done by Legal department still appropriate/relevant? Just because something has been done in the past doesn’t mean that it has value or that it is even relevant now. ☐ Assess the ways that Legal services are delivered to the organisation Is work being diverted to external providers/advice being sought that could be provided by Legal department? Categorise existing service
In-house lawyers—Preparing for your appraisal meeting (appraisor) Purpose of performance appraisal and personal development Our appraisal/personal development process is intended to: • achieve a highly focused, productive and motivated workforce by supporting and valuing every individual in the legal team • ensure individuals are aware of the legal team’s strategic objectives and how they can personally contribute to those objectives being achieved Rating system It is important to understand the rating system that will be used in the appraisal: Rating Definition (1) Exceeded all expectations Consistently exceeds expectations relative to the achievement of objectives, core skills and valuesIs recognised as a role model or go to person and demonstrates the critical success factors that are important to the legal team (2) Exceeded some expectations Consistently meets and often exceeds expectations relative to the achievement of objectives, core skills and valuesExceeds certain elements of key objectives, but not others (3) Met all expectations Fully meets or occasionally exceeds the key expectations on objectives, core skills and valuesIs successfully performing in all areas of his/her jobRequires only a moderate amount of supervision and direction, ie what you would expect for this level of position (4) Some, but not all expectations met Meets elements of the key objectives, performance on other elements and/or core skills and values requires improvements in some areasMay require some close direction to complete projects and assigned workNeeds to work on improving
Policy—Coronavirus (COVID-19) vaccination STOP PRESS (29/3/22): Following publication of the government’s COVID-19 Response: Living with COVID-19, under which the remaining coronavirus (COVID-19) domestic legal restrictions in England are removed from 24 February 2022, the ICO has issued a brief form of guidance on data protection and COVID-19, which replaces the previous, more specific guidance. See: LNB News 28/03/2022 91. For more information on the government guidance, see Practice Note: Living with coronavirus (COVID-19) in the workplace from 24 February 2022 , LNB News 22/02/2022 8 and News Analysis: Coronavirus (COVID-19)—How should employers respond to the scrapping of self-isolation rules? . This Precedent will be updated shortly to reflect these changes. 1 Introduction 1.1 This policy sets out the Company’s approach to staff vaccination against coronavirus (COVID-19). It supplements, but does not replace, the Company’s health and safety[, coronavirus workplace safety] and sickness absence policies. 1.2 This policy does not form part of any contract of employment and the Company may amend it at any time. 1.3 This policy applies to all employees, workers and contractors. 1.4 This policy has been written [following discussions OR in consultation] with [the recognised trade union OR employee representatives OR a representative group of employees]. 1.5 The information set out in this policy is taken from guidance on the NHS and other government websites that are
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A UK company has engaged an EU manufacturer to undertake some specialist construction work. The EU manufacturer has engaged a subcontractor due to the specialist nature of the work. The EU citizens (who are employees of the subcontractor) will need to be in the UK for a number of months, possibly up to 12 months due to the nature of the work but will be travelling back to the EU to see family at various points. The EU citizens have not been to the UK before so they are not eligible for the EU Settlement Scheme or a frontier worker permit. Are there any routes available to enable the EU citizens to enter and work in the UK legally? Are there any risks to the UK company? For the purposes of this Q&A, we have not considered the provisions within the EU-UK Trade and Cooperation Agreement (TCA), as that is not directly enforceable, and it is for the UK to implement its provisions (to the extent not already implemented under the European Union (Future Relationship) Act 2020). For further information, see News Analysis: Implementing the TCA—business immigration implications. As the EU citizen employees fall outside the scope of the EU Settlement Scheme, and do not qualify for a frontier worker permit, the following key immigration categories may be
What is the impact of Brexit on international transfers of personal data? This Q&A looks at the impact of Brexit on cross-border transfers of personal data involving the UK and EEA, under the General Data Protection Regulation, Regulation (EU) 2016/679 (GDPR). It does not address cross-border transfers of personal data by competent authorities for law enforcement purposes or by the intelligence services, and under the ‘applied GDPR’ regime, which are beyond the scope of this Q&A. Since 25 May 2018, the GDPR has been directly applicable in the UK and all other EU Member States. The GDPR regime has also been incorporated in the EEA Agreement and governs the processing of personal data across the EEA (the EU plus Iceland, Norway, and Liechtenstein). The GDPR regime permits EEA states to introduce certain national derogations. In the UK those have been implemented by the Data Protection Act 2018, see Practice Note: The Data Protection Act 2018. Chapter V of the GDPR regime imposes a restriction which prevents personal data from being transferred to ‘third countries’ outside the EEA. These transfer restrictions apply unless one of the following transfer mechanisms are in place: • the transfer is covered by a relevant adequacy decision issued by the European Commission (the Commission) • appropriate safeguards are in place • certain limited derogations apply At present, personal data may be transferred
What are the key considerations for a public body drafting an agreement for grant of funding? Are there any government standard templates or materials available to assist with drafting grant agreements? This Q&A outlines some key considerations for a public body drafting grant funding agreements. Circumstances will vary from one project to another and this Q&A is not intended to be an exhaustive list of all the matters to be addressed when preparing grant funding agreement. Although there is no single government grant funding template, several government funding streams use fixed terms which are available on government websites. For example, the Department for Education, the Department for Levelling Up, Housing and Communities and NHS England, which all publish grant funding terms on their websites. Key considerations for public bodies preparing grant funding agreements are set out below. Grant agreement or services contract? It is important to be clear as to whether the contract will truly be a grant funding agreement or a services contract as this will have implications for VAT treatment and obligations under public procurement rules. General characteristics of a grant agreement are as follows: • funding is provided to support or fund an activity carried out by the recipient for third-party beneficiaries rather for the public body • there is no positive obligation on the recipient to carry out the activity deliver any goods or services • if the
The Special Educational Needs and Disabilities Code of Practice states that local authorities and relevant health bodies should have arrangements in place to agree heath care provisions in education, health and care (EHC) plans for young people. If those arrangements are not robust, causing an injustice to a young person, have both the local authority and relevant health body failed in fulfilling their statutory duty? Would the local authority be solely responsible as they hold the statutory duty to provide EHC plans for young people? Chapter 3 of the Statutory Guidance Special educational needs and disability code of practice: 0 to 25 years sets out the arrangements that must be put in place between a local authority and the partner organisations including Commissioning Care Groups to facilitate commissioning services that meet local needs in relation to provision of education, health and social care. It describes the governance and accountability arrangements that should be in place to ensure that local needs are assessed and met by providing personalised, integrated support that delivers positive outcomes for children and young people, bringing together support across education, health and social care from early childhood through to adult life, and improves planning for transition points. The outcome of the assessment and agreements should be published as the local offer. The process is illustrated in paragraph 3.20. The guidance provides that
Does the Tower Cranes register still exist? A statutory tower crane registration scheme was introduced in April 2010 by the Notification of Conventional Tower Crane Regulations 2010 and imposed a duty on the employer to notify the HSE of the use of conventional tower cranes (not self-erecting tower cranes) on construction sites. The aim of the register was, following several fatal accidents, to improve the safety of tower cranes and to reassure the public of their safety. However, the
The rules on issuing a second contract, in a contract race situation, refer to ‘seller’. Does this apply they apply equally to the grant or disposal of a leasehold interest? SRA Code of Conduct Chapter 11 covers the relations that a solicitor has with third parties. Outcome 11.3 of the solicitors regulation authority (SRA) Code of Conduct applies to contract races ie when a seller instructs their solicitor to deal with two or more separate buyers and provides: ‘where you act for a seller of land, you inform all buyers immediately of the seller’s intention to deal with more than one buyer’ The SRA Code however does not provide further guidance on how this should work in practice. The Law Society Practice Note on Conflict of Interests deals with reference to ‘buyer and seller’ in relation to conflict of interest and states: ‘2. 6 Acting for a buyer
Form C100 contains provision to apply for a child arrangements order by consent. What is the court fee to do so and what steps will the court take in relation to such an application, ie will the court list the application for a hearing or would it be considered on paper? The Child Arrangements Programme set out in the Family Procedure Rules 2010, PD 12B (FPR 2010) is designed, if possible to achieve non-court outcomes, whether by agreement between the parties or by mediation through the mediation information and assessment meeting (MIAM) scheme. If the parties reach an agreement, they can apply to the court on form C100 for a consent order. As FPR 2010, PD 12B, para 8.3 makes clear, where the application is for a consent order, there is no need to attend a MIAM or to confirm such attendance or that an exemption applies. FPR 2010, PD 12B, para 8.6 provides that if a parenting plan has been prepared, this should be attached to the form C100. Likewise, if the parties have agreed a consent order, this should also be attached. Section 1 of the Children Act 1989 (
Does Article 56 TFEU apply to a grant agreement? Article 56 of the Treaty on the Functioning of the European Union (TFEU) TFEU, art 56 prohibits EU Member States from restricting the freedom to provide services. TFEU, art 56 is said to apply to services which constitute economic activity. ‘Services’ in this context should involve an economic element in order to be regarded as a service within the meaning of TFEU, art 56. This includes services which are normally provided for remuneration, though the remuneration does not need to come from the recipient of the services (see Deliège). TFEU, art 56 does not apply to purely internal situations―ie the relevant elements of the economic activity should not be confined within a single Member State. There should be a cross-border element to the provision of the service in question; for example, where a service provider moves to a Member State other than the State in which they are settled in order to supply the services. TFEU, art 56 prohibits all discriminatory measures. In Commission v Italy, the Court of Justice defined more clearly what the term ‘restriction’ refers to here. According to the court, the term restriction ‘covers all measures which prohibit, impede or render less attractive the freedom of establishment or the freedom to provide services’. Determining whether an arrangement is service within the meaning of TFEU, art 56 requires
Subject to post-Brexit potential changes in enforcing foreign judgments, is it possible to state with certainty that: A) an EU judgment will be enforced against an English company in English courts B) an EU debenture affecting an English company would be enforceable in English courts. EU judgment In this Q&A we have limited our research to cover the current position under English law; we have not considered the possible position after the UK has left the EU. Current position The rules on jurisdiction and the enforcement of judgments within the EU (including the UK) are currently set out in Regulation (EU) No 1215/2012 (Brussels I Recast) of the European Parliament and of the Council of 12 December 2012 on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters (Brussels I Recast). Brussels I Recast applies only to claims commenced after 10 January 2015 (see art 81). In relation to claims commenced prior to that date, the rules set out in Brussels I continue to apply. The usual position under Brussels I Recast, is that a judgment which falls within the scope of Brussels I (recast) will automatically be enforceable in other EU Member States (art 39). There is no requirement to obtain a declaration of enforceability as there was in the original version of the regulation. For further information, see Practice Note:
In what circumstances can a solicitor charge for preparing a file note and can the solicitor claim that from the paying party in litigation? For the purposes of this Q&A, we have assumed: • the solicitor is charging the client on the basis of an hourly rate • ‘file notes’ includes ‘attendance notes’ • the retainer between solicitor and client allows for recovery of related time Solicitors Code of Conduct The ability to charge for preparing a file note will be dependent on a number of different factors. The solicitor’s conduct of the case and duties to the client in relation to whether it is reasonable to prepare a file note is underpinned by the outcomes contained in the Solicitors Regulation Authority (SRA) Code of Conduct 2011. The outcomes in chapter 1 include providing services to clients in a manner which protects their interests, having the resources, skills and procedures to carry out clients’ instructions and to deliver a competent service in a timely manner taking into account clients’ needs and circumstances. The number and detail of and file notes required may differ depending on these outcomes. Achieving the outcomes is likely to involve at least the reasonable recording of client instructions and developments. In addition, in light of the fact that the client may later wish to recover costs from another party at the end of the case, it is
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Welcome to the weekly Financial Services highlights from the Financial Services team for the week ending 23 June 2022. This week’s edition of Financial Services highlights provides an aggregation of the news reported by the Lexis®PSL Financial Services team over the past week and includes (1) news items relating to the conflict in Ukraine, (2) news items relating to Brexit, (3) updates from UK regulators, (4) updates from EU and international regulators, (5) updates from industry bodies and market participants, (6) new and updated content and (7) dates for your diary from Financial Services.
This week’s edition of Risk & Compliance weekly highlights includes: the new Risk & Compliance forecast; outcomes of the latest FATF plenary meeting; the draft Money Laundering and Terrorist Financing (Amendment) (No 2) Regulations 2022; and details of UK data protection and ePrivacy reforms.
Welcome to this week’s edition of the In-house weekly highlights, a curated summary of news analysis and new content from across the legal landscape. These highlights focus on key risk & compliance, commercial, corporate, information law and employment developments that will be relevant to most in-house lawyers.
This week's edition of Corporate Crime weekly highlights includes analysis of a High Court decision on what detail charges need to include on time limits for bringing the prosecution, the impact of the Building Safety Act 2022 in Scotland and HM Treasury’s call for AML supervisors to be able to scrutinise Suspicious Activity Reports (SARS) submitted to the National Crime Agency (NCA). Also included is news that Glencore Energy (UK) Ltd has been convicted on all seven charges of international bribery brought against it by the Serious Fraud Office (SFO), the Financial Conduct Authority (FCA) will pursue a re-trial in its insider dealing case and the Home Office has opened a consultation on police requests for personal data from third parties when investigating crimes. All this, and more, in this week’s Corporate Crime highlights.
This week's edition of Insurance & Reinsurance weekly highlights includes: updates relating to the Ukraine conflict, cases and decisions, market practice, regulatory developments, dates for your diary and other news highlights reported over the past week.
Welcome to the Pensions weekly highlights from the Pensions team. This week's edition of Pensions highlights includes a review of key news stories, as well as dates for your diary and trackers.
This week’s edition of Practice Compliance weekly highlights includes: the new Practice Compliance forecast; outcomes of the latest FATF plenary meeting; the draft Money Laundering and Terrorist Financing (Amendment) (No 2) Regulations 2022; and details of data protection and ePrivacy reforms.
Law360, London: The Financial Conduct Authority (FCA) has conducted a detailed review into the financial crime controls of challenger banks as they continue to enter the UK financial industry at a rapid pace. Such banks' surge in popularity is partially linked to the coronavirus (COVID-19) pandemic, which has prompted significant changes in the habits of service providers worldwide.
Law360, London: The EU's legal action against the UK for failure to comply with the Northern Ireland (NI) Protocol has raised concerns that the bloc's regulators could now pay closer attention to whether British financial services companies have adequate risk management and governance in the EU.
This week's edition of Energy weekly highlights includes BEIS’ plans to improve the resilience of GB’s electricity networks following the review of the industry response to Storm Arwen and its consultation on implementing the nuclear RAB model revenue stream, NSTA’s launch of the UK’s first carbon storage licensing round, an analysis on the EU ETS and carbon border tariffs being subject to a second plenary vote in the EU Parliament, and news that the European Commission signed a trilateral Memorandum of Understanding with Egypt and Israel for the export of natural gas to Europe.
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