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Latest Practice Compliance News

Practice Compliance weekly highlights—8 April 2021

Practice Compliance weekly highlights—8 April 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—8 April 2021

LexisPSL and MLex trial new interactive EU GDPR enforcement tracker

LexisPSL and MLex trial new interactive EU GDPR enforcement tracker

The following Commercial news provides comprehensive and up to date legal information on LexisPSL and MLex trial new interactive EU GDPR enforcement tracker

DPAs may not be receiving sufficient judicial scrutiny

DPAs may not be receiving sufficient judicial scrutiny

The following Corporate Crime news provides comprehensive and up to date legal information on DPAs may not be receiving sufficient judicial scrutiny

Practice Compliance weekly highlights—1 April 2021

Practice Compliance weekly highlights—1 April 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—1 April 2021

Featured Practice Compliance content

Facilitation payments under the Bribery Act 2010

Facilitation payments under the Bribery Act 2010

Facilitating the performance of a duty by public officialsFacilitation payments, also known as facilitating or grease payments, are generally small...

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 courts. Failure to comply with an...

Active bribery, passive bribery and bribing foreign public officials

Active bribery, passive bribery and bribing foreign public officials

The purpose of this Practice Note is to provide a general understanding of the offences under section 1, 2 and 6 of the Bribery Act 2010 (BA 2010). It...

High-risk third countries tracker

High-risk third countries tracker

This Practice Note lists high-risk third countries identified by the Financial Action Task Force (FATF), HM Treasury and the European Commission as...

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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9th Nov
tag iconIn-house
Practice notes

AML and counter-terrorist financing—source of funds

Source of funds and wealth was a key focus of the SRA’s Preventing Money Laundering and Financing of Terrorism thematic review, published in March...
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9th Nov
tag iconIn-house
Practice notes

Introduction to retained EU law

This Practice Note provides an introduction to retained EU law, which is an entirely new legal concept introduced to UK domestic law in preparation...
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9th Nov
tag iconBrexit
Precedents

Standard contractual clauses—set II—controller to controller (Model Clauses)

DRAFTING FOR BREXIT: For the latest information on the impact of Brexit on the drafting, negotiation and enforceability of this Precedent, see...
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9th Nov
Precedents

Anti-bribery and corruption for law firms—post-training assessment questions

How to use this testThese questions are designed to test your understanding after your attendance at our training on avoiding bribery and...
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9th Nov
Practice notes

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

The compliance officer for legal practice (COLP) sits at the heart of the firm's regulatory arrangements. This does not mean that the firm and its...
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9th Nov

Most recent Client care & complaints content

Practice notes

Coronavirus (COVID-19)—guidance for law firms

STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval by HM Treasury and any content...
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6th Apr
tag iconCOVID-19
Practice notes

Publicity—regulatory requirements—law firms [Archived]

This Practice Note explains regulatory requirements that must be complied with when dealing with publicising the firm to others.Information covering...
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6th Apr
Q&As

When making a data subject access request to a law firm, is a client entitled to copies of the firm’s own internal communications relating to allegations of negligence by the client against the firm? Is the answer the same for a client complaint rather than an actual or potential claim?

Personal data that is subject to a duty of client confidentiality or contained within communications that are considered to be legally privileged may...
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Produced in partnership with Peter Steel of Augury Consulting Limited 24th Mar
Practice notes

Publicity 2019—law firms

This Practice Note reflects requirements in the SRA Standards and Regulations together with other regulatory requirements in relation to publicity by...
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24th Mar
Practice notes

Handling complaints—law firms

Complaints are a business risk that cannot be avoided completely so must be handled and managed effectively.There are two key components to an...
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24th Feb
Precedents

Terms of business 2019—law firms

1Our contract with you1.1These Terms of Business (as updated from time to time) apply to all work we do on your behalf. It is an important...
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24th Feb
Precedents

Terms of business—law firms 2011 [Archived]

The purpose of this document is to confirm the arrangements between us. [Although your continuing instructions in this matter will amount to your...
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24th Feb
Precedents

Complaint summary

1GeneralComplaint reference number[Insert number]File reference number (if applicable)[Insert number]Complainant name[Insert name]Person dealing with...
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23rd Feb
Precedents

Internal complaints handling procedure—law firms—2019

1Introduction1.1We are committed to providing a high-quality legal service. We acknowledge that we may not always get it right, so if something has...
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23rd Feb
Precedents

Letter to complainant—written response—deadlock or final letter

[Insert complainant’s name][Insert complainant’s contact address]Our ref: [insert complaint reference number]Dear [insert complainant’s name]I am...
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23rd Feb
Precedents

Privacy policy—law firms and professional services

STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval by HM Treasury and any content...
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22nd Feb
Q&As

Do you have wording for an email footer regarding cybersecurity especially bank account fraud?

Practice Note: Email disclaimers provides sample wording for commercial email disclaimers. Law firms may wish to consider something along the...
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15th Feb
Q&As

Can we exclude our obligation to follow our complaints process if we are taking action against the client to obtain an injunction or similar or enforce a judgment against the client?

SRA Standards and Regulations 2019 require you to ensure:•clients are informed in writing at the time of engagement about their right to complain...
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15th Feb
Q&As

Is there a difference between agreed fees and fixed fees? If yes, how must each one be dealt with in terms of the SRA Accounts Rules and do we need to say anything specific about agreed fees in our client care documentation?

An agreed fee as defined in the SRA Accounts Rules under rule 17.5 is:‘A payment for an agreed fee must be paid into an office account. An "agreed...
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Produced in partnership with Sarah Charlton of ILFM 15th Feb
Q&As

If a law firm acts for a consumer client and the client has an individual guarantor giving a personal guarantee for the client's legal fees, is that guarantee agreement subject to any legislation or regulatory requirements?

Key legal issues for guaranteesGuarantees are contracts and must therefore satisfy the four basic requirements for a...
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Produced in partnership with Russell Kelsall LLB (Hull); LPC (Shef) of TLT 15th Feb
Q&As

Do I have to disclose confidential client information to Legal Ombudsman (LeO) if my client makes a complaint about his barrister where the client also made a complaint against the firm but we resolved it without the involvement of LeO?

Legal OmbudsmanThere are no specific provisions within LeO’s Scheme Rules that require a third party to disclose information relating to an ongoing...
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15th Feb
Q&As

We are representing clients in the sale of business assets. The purchaser representatives have legal knowledge, but do not appear to be solicitors (or similar). What are the compliance implications, other than the restriction on unqualified persons conducting reserved legal activities?

Dealing with non-solicitors on the other side of a transaction can present numerous compliance issues, eg:•compliance with the Code of Conduct and...
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15th Feb
Q&As

Does the prohibition on unsolicited telephone calls advertising claims management services (Privacy and Electronic Communications (EC) Directive Regulations 2003, SI 2003/2426) apply to law firms?

This prohibition on unsolicited telephone calls advertising claims management services derives from the Privacy and Electronic Communications (EC)...
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15th Feb
Q&As

What are the consequences, in an off-premises contract after 13 June 2014, of notifying the client that the cancellation period under the contract is seven days (instead of 14)?

The Consumer Contracts (Information, Cancellation and Additional Charges) Regulations 2013 (CCR 2013), SI 2013/3134 came into force on 13 June 2014....
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Produced in partnership with Peter Steel of Blake Morgan 15th Feb
Q&As

Do I have to provide a privacy notice to an individual instructing us on behalf of a corporate client?

This response is written on the basis of the General Data Protection Regulation (GDPR). The GDPR applies when you process personal data, ie:‘any...
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15th Feb

Popular documents

LEXISNEXIS

Law of the arbitration proceedings—curial law or lex arbitri (England and Wales)

This Practice Note considers the law governing the procedural law of arbitration proceedings (the curial law or lex arbitri) and how it is determined under the law of England and Wales (England and English are used as convenient shorthand).The procedural law of the arbitral proceedingsThe procedural

LEXISNEXIS

Causation and intervening acts in criminal cases

Criminal offences are generally divided into two categories: •conduct crimes, and •result crimesA conduct crime is a crime where only the forbidden conduct needs to be proved. For example, an accused is guilty of dangerous driving if they drove a motor vehicle dangerously on a road or other public

LEXISNEXIS

Scrip dividends

Dividends involve a distribution of cash or a distribution of non-cash assets (known as a distribution in kind or a distribution in specie).A scrip dividend (in a tax context, sometimes referred to as a stock dividend) allows a shareholder to receive new shares in a company as an alternative to a

LEXISNEXIS

Constructive trusts

Millett LJ subdivided types of constructive trust into two categories, distinguishing between:•the constructive trust proper, where equity intervenes to prevent the legal owner from unconscionably denying the beneficial interest of another (known as the institutional constructive trust)•the