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Latest Practice Compliance News

Question of the week: If a company offers non-employees a referral fee for referring clients to the company (eg X per cent of margin from referred work), would these fees for referring work risk contravening the Bribery Act 2010 provisions?

Question of the week: If a company offers non-employees a referral fee for referring clients to the company (eg X per cent of margin from referred work), would these fees for referring work risk contravening the Bribery Act 2010 provisions?

Question of the week: If a company offers non-employees a referral fee for referring clients to the company (eg X per cent of margin from referred work), would these fees for referring work risk contravening the Bribery Act 2010 provisions?

Practice Compliance weekly highlights—23 September 2021

Practice Compliance weekly highlights—23 September 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—23 September 2021

Practice Compliance forecast as at 21 September 2021

Practice Compliance forecast as at 21 September 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance forecast as at 21 September 2021

US Congress to tackle anticorruption legislation, including bill to outlaw foreign bribe solicitation

US Congress to tackle anticorruption legislation, including bill to outlaw foreign bribe solicitation

The following Corporate Crime news provides comprehensive and up to date legal information on US Congress to tackle anticorruption legislation, including bill to outlaw foreign bribe solicitation

Featured Practice Compliance content

What is a solicitor's undertaking?

What is a solicitor's undertaking?

What is a solicitor's undertaking?An undertaking is a commitment by a solicitor to do something. It can be enforced against the solicitor by the...

SRA Code of Conduct for individuals and firms

SRA Code of Conduct for individuals and firms

SRA Code of Conduct for individuals and firmsThis Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and...

Conflicts of interest 2019

Conflicts of interest 2019

Conflicts of interest 2019Conflicts of interest can cause difficult and serious problems for solicitors and law firms, both from a compliance point of...

Legal Services Board

Legal Services Board

Legal Services BoardThe Legal Services Board (LSB) is the single independent oversight regulator of the legal profession and sector in England and...

Practice notes

AML and counter-terrorist financing—source of funds and source of wealth

AML and counter-terrorist financing—source of funds and source of wealthSource of funds and wealth was a key focus of the SRA’s Preventing Money...
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19th May
tag iconIn-house
Practice notes

The Information Commissioner’s Office (ICO)

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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19th May
Practice notes

Compliance officer for legal practice—COLP—title and duties 2011 [Archived]

Compliance officer for legal practice—COLP—title and duties 2011 [Archived]The compliance officer for legal practice (COLP) sits at the heart of the...
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19th May
Practice notes

Brexit—exiting the EU under Article 50 [Archived]

Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...
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Produced in partnership with Adam Cygan of University of Leicester 19th May
tag iconBrexit
Practice notes

SRA Accounts Rules 2019

SRA Accounts Rules 2019This Practice Note sets out the requirements of the SRA Accounts Rules 2019 (the 2019 Rules), in force from 25 November 2019,...
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19th May
Precedents

Modern slavery: contract clauses

1DefinitionsModern Slavery Policy•means the Customer's anti-slavery and human trafficking policy as set out in Schedule [insert] as updated by the...
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19th May
tag iconIn-house
Practice notes

High-risk third countries tracker

High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
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19th May
tag iconIn-house
Practice notes

Active bribery, passive bribery and bribing foreign public officials

Active bribery, passive bribery and bribing foreign public officialsThe purpose of this Practice Note is to provide a general understanding of the...
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Produced in partnership with Joanne Kane of Carmelite Chambers 19th May
Precedents

Standard contractual clauses for international transfers—set II—controller to controller—ICO templates

In briefThis precedent links to: •a template created by the UK Information Commissioner’s Office (ICO) of the ‘Set II’ or ‘2004’ EU Standard...
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19th May
Practice notes

Introduction to retained EU law

Introduction to retained EU lawThis Practice Note provides an introduction to retained EU law. It provides an overview of the key definitions and...
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Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May
tag iconBrexit
Practice notes

Safeguards and information barriers

Safeguards and information barriersProtection of confidential information is fundamental to your relationship with clients, both as a matter of law...
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19th May
Practice notes

Undertakings and the SRA 2019

Undertakings and the SRA 2019What is an undertaking?An undertaking is:•a statement, given orally or in writing, whether or not it includes the word...
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19th May
Practice notes

Duties of confidentiality and disclosure 2019

Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
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19th May
Precedents

Financial sanctions policy

1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...
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19th May
Practice notes

SRA Handbook 2011 [Archived]

SRA Handbook 2011 [Archived]The SRA Handbook 2011 sets out standards and requirements that individual lawyers and firms are expected to achieve and...
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19th May
Practice notes

Working with European lawyers—the Registered European Lawyer (REL) regime

Working with European lawyers—the Registered European Lawyer (REL) regimeAt 11 pm (GMT) on 31 December 2020, the Brexit transition/implementation...
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19th May
tag iconBrexit

Most recent Agents & intermediaries content

Practice notes

Appointing agents and intermediaries—due diligence resources

Appointing agents and intermediaries—due diligence resourcesDue diligence measures for agents and intermediaries are summarised in Precedent:...
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31st Jul
Precedents

Anti-bribery and corruption—evaluation and authorisation of an agent/intermediary arrangement

Anti-bribery and corruption—evaluation and authorisation of an agent/intermediary arrangementGeneralName[Insert name of person conducting...
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31st Jul
Precedents

Anti-bribery and corruption—facilitation payments FAQs

Anti-bribery and corruption—facilitation payments FAQsWe run our business[es] with integrity. All of us must work together to ensure our business[es]...
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31st Jul
Precedents

Anti-bribery and corruption—top tips for conducting online due diligence

Anti-bribery and corruption—top tips for conducting online due diligenceAgents and intermediaries are third parties engaged to provide services for or...
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31st Jul
Precedents

Anti-bribery and corruption—agents and intermediaries register

Anti-bribery and corruption—agents and intermediaries registerPlease click for an Excel version of this...
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30th Jul
Precedents

Anti-bribery and corruption—agent and intermediary due diligence red flags guide

Anti-bribery and corruption—agent and intermediary due diligence red flags guideWe run our business[es] with integrity. All of us must work together...
Read More >
30th Jul
Precedents

Anti-bribery clause

1 Anti-bribery—short form—pro-customer Bribery Laws means the Bribery Act 2010[ and associated guidance published...
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26th Sep

Popular documents

Subrogation in insurance and reinsurance

Subrogation in insurance and reinsurance

Subrogation in insurance and reinsuranceWhat is the right of subrogation?In the context of insurance and reinsurance, the right of subrogation entitles an insurer or reinsurer, having indemnified the (re)insured, to ‘step into its shoes’ to bring an action in the (re)insured’s name. For the purpose

Mediation—advantages and disadvantages

Mediation—advantages and disadvantages

Mediation—advantages and disadvantagesWhat is mediation?Mediation is one of the most recognised and common forms of alternative dispute resolution (ADR).It is a form of assisted ADR in the sense that there is a third-party neutral involved who meets with the parties and seeks to help them in

Contract interpretation—express terms in contracts

Contract interpretation—express terms in contracts

Contract interpretation—express terms in contractsExpress and implied contractual terms distinguishedContractual terms may be either express or implied:•express terms—are terms which are actually recorded in a written contract or openly expressed in an oral contract at the time the contract is made

Escrow accounts and escrow agreements

Escrow accounts and escrow agreements

Escrow accounts and escrow agreementsThis Practice Note examines why parties involved in a construction project may enter into an escrow agreement (or escrow deed) to set up an escrow account. It looks at the benefits of paying funds into escrow, how an escrow account operates and the provisions