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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 Regulatory regime content

Practice notes

SRA Standards and Regulations

SRA Standards and RegulationsThe SRA Standards and Regulations set out the standards and requirements that individual lawyers and firms regulated by...
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17th Sep
Practice notes

SRA enforcement strategy

SRA enforcement strategyThe Solicitors Regulation Authority (SRA) has a published enforcement strategy setting out its approach to enforcement,...
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16th Sep
Practice notes

Coronavirus (COVID-19)—guidance for law firms [Archived]

Coronavirus (COVID-19)—guidance for law firms [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note...
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26th Aug
tag iconCOVID-19
Practice notes

SRA’s authorisation function

SRA’s authorisation functionThe Solicitors Regulation Authority (SRA) has three core operational functions: •authorisation (which this Practice Note...
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18th Aug
Practice notes

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...
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15th Aug
Practice notes

Risk-based regulation

Risk-based regulationThe Solicitors Regulation Authority (SRA) cannot police compliance by every solicitor and firm against every regulatory...
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15th Aug
Practice notes

Firm-based regulation

Firm-based regulationHistorically, only individuals were subject to professional rules and requirements rather than the entities through which they...
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15th Aug
Practice notes

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...
Read More >
15th Aug
Practice notes

Looking to the future: SRA proposals for reform of the Handbook [Archived]

Looking to the future: SRA proposals for reform of the Handbook [Archived]Less than five years since the SRA Handbook 2011 came into force in October...
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15th Aug
Practice notes

SRA's supervision function

SRA's supervision functionThe Solicitors Regulation Authority (SRA) has three core operational functions:•authorisation (see Practice Note: SRA's...
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15th Aug
Practice notes

What is outcomes-focused regulation? 2011 [Archived]

What is outcomes-focused regulation? 2011 [Archived]The Solicitors Regulation Authority (SRA) introduced outcomes-focused regulation (OFR) in October...
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15th Aug
Practice notes

Solicitors Regulation Authority

Solicitors Regulation AuthorityThe Solicitors Regulation Authority (SRA) is the independent regulatory arm of the Law Society. It...
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15th Aug
Practice notes

SRA regulatory regime—from 2019

SRA regulatory regime—from 2019The way the Solicitors Regulation Authority (SRA) regulates the solicitors’ profession has been evolving since its...
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15th Aug
Practice notes

Looking to the future—what to expect following the LSB’s decision on reform of the SRA Handbook—law firms [Archived]

Looking to the future—what to expect following the LSB’s decision on reform of the SRA Handbook—law firms [Archived]The Solicitors Regulation...
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15th Aug
Practice notes

Looking to the future: Phase 2 of the SRA’s Handbook reforms [Archived]

Looking to the future: Phase 2 of the SRA’s Handbook reforms [Archived]At the end of September 2017, the SRA launched a further consultation as part...
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15th Aug
Practice notes

Relationship between legal regulators

Relationship between legal regulatorsThere are six main regulatory bodies concerned specifically with the regulation of solicitors’ practices. These...
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15th Aug
Q&As

Is the drafting and preparation of a statutory demand a reserved legal activity?

Is the drafting and preparation of a statutory demand a reserved legal activity?Reserved legal activitiesCertain legal activities can only be carried...
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15th Aug
Practice notes

SRA's enforcement function

SRA's enforcement functionThe Solicitors Regulation Authority (SRA) has three core operational functions: •authorisation (see Practice Note: SRA's...
Read More >
15th Aug
Practice notes

Legal complaints handling—regulatory bodies

Legal complaints handling—regulatory bodiesThis Practice Note sets out details of the various bodies that have responsibilities for and interests in...
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15th Aug
Practice notes

Looking to the future—SRA consultation responses [Archived]

Looking to the future—SRA consultation responses [Archived]In June 2016, the SRA launched plans to 'radically' simplify the SRA Handbook. It published...
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15th Aug

Popular documents

Standard Commercial Property Conditions (Third Edition—2018 Revision)

Standard Commercial Property Conditions (Third Edition—2018 Revision)

The third edition of the Standard Commercial Property Conditions was published on 27 April 2017 a

What is a public authority?

What is a public authority?

What is a public authority?There is no single, universal answer to the question whether a particular organisation is treated, in law, as a public authority.Rather, on one hand the courts have developed case law on which bodies are subject to administrative law through the judicial review procedure;

Discharge by frustration

Discharge by frustration

Discharge by frustrationCoronavirus (COVID-19): In addition to the below content on force majeure generally, see also:•Coronavirus (COVID-19) toolkit—Contracts•Coronavirus (COVID-19) and contractual obligations—checklisttogether with the Q&A (in the related content pod on the right hand side) for

TCC—preparing for and attending a pre-trial review (PTR)

TCC—preparing for and attending a pre-trial review (PTR)

TCC—preparing for and attending a pre-trial review (PTR)Note:•this Practice Note gives specific guidance on matters proceeding in the Technology and Construction Court (TCC) under the provisions set out in CPR 60, CPR PD 60 and the TCC Guide. As these provisions are additional to the general