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Latest Practice Compliance News

A dose of reality? Requiring employees to be vaccinated

A dose of reality? Requiring employees to be vaccinated

The following Employment news provides comprehensive and up to date legal information on A dose of reality? Requiring employees to be vaccinated

Practice Compliance weekly highlights—21 January 2021

Practice Compliance weekly highlights—21 January 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—21 January 2021

Law must change to go after companies allowing financial crime, MPs urge

Law must change to go after companies allowing financial crime, MPs urge

The following Corporate Crime news provides comprehensive and up to date legal information on Law must change to go after companies allowing financial crime, MPs urge

BEIS ‘Working safely during coronavirus’: two new workplace guides and three guides updated

BEIS ‘Working safely during coronavirus’: two new workplace guides and three guides updated

The following Employment news provides comprehensive and up to date legal information on BEIS ‘Working safely during coronavirus’: two new workplace guides and three guides updated

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 content

Practice notes

Coronavirus (COVID-19)—guidance for law firms

This Practice Note reflects advice, guidance and updates issued by the SRA and Law Society on the impact of the coronavirus (COVID-19) on the...
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20th Jan
tag iconCOVID-19
Precedents

Client care manual 2019

1Introduction1.1Client care is central to the regulatory regime under which we operate. [Insert name of firm] is committed to providing a good...
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11th Jan
Precedents

Client care policy 2011 [Archived]

1Introduction1.1Client care is central to the regulatory regime under which we operate. [Insert name of firm] is committed to providing a good...
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8th Jan
Practice notes

Managing client communication risk

Failure to communicate effectively with a client is perhaps the most common cause of complaints and claims. Whether or not the claim is justified, it...
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Produced in partnership with Lockton Companies insurance brokers 8th Jan
Precedents

Policy—acting for yourself, friends and family

1Introduction1.1This policy covers three separate situations:1.1.1the firm acting for one of our partners/employees, alone or jointly with an external...
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Produced in partnership with Sarah Mumford 8th Jan
Practice notes

Client care 2019—law firms

This Practice Note reflects requirements in the SRA 2019 regime, effective from 25 November 2019. See Practice Note: Client care—SRA 2011 regime and...
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7th Dec
Practice notes

Client care—SRA 2011 regime and SRA 2019 regime compared

This Practice Note contrasts the requirements in the SRA’s 2011 and 2019 regimes as well as wider requirements in relation to client care. There is a...
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7th Dec
Practice notes

Acting for yourself, friends and family

This Practice Note covers considerations where the firm wishes to act for one of its own partners or employees, where an individual lawyer wishes to...
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7th Dec
Q&As

Can solicitors instruct themselves?

Under the SRA Principles, you must act:•in a way that upholds the constitutional principle of the rule of law, and the proper administration of...
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7th Dec
Q&As

I am acting for a client in two related matters with the same third-party. The third party has a solicitor for one matter but my client wishes me to write directly to the third party on the second matter. Can I do this?

We are not aware of any guidance from either the Law Society or the Solicitors Regulation Authority (SRA) on this particular point, but the SRA...
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7th Dec
Q&As

When and how can I terminate my retainer?

Incorrectly terminating a retainer can have serious consequences, eg you:•are not entitled to be paid for any of the work done on the client's...
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7th Dec
Practice notes

Client care policy—regulatory requirements 2011 [Archived]

Client care is about providing a proper standard of service to your client. Chapter 1 of the Solicitors Regulation Authority (SRA) Code of Conduct...
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7th Dec
Precedents

Acting for a partner or employee, or acting for yourself, friends and family—checklist for staff

This Checklist sets out points you should consider and actions you should take before representing or acting for a partner or employee, yourself,...
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7th Dec
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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7th Dec
Precedents

Client care manual—annual review

1General informationDate of annual review[Insert date]Person(s) conducting annual review[Insert name(s)]2Review and findingsAre your client care...
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7th Dec

Popular documents

LEXISNEXIS

Voluntary manslaughter

Voluntary manslaughterVoluntary manslaughter consists of those killings which would be murder (because the accused has the relevant mental element for murder) but which are reduced to manslaughter because of one of the three special defences (loss of control, diminished responsibility or suicide

LEXISNEXIS

The Offshore Transmission Owner (OFTO) regime

What are OFTOs?Offshore Transmission Owners (OFTOs) are the owners of offshore transmission assets which connect offshore wind farms to the onshore electricity network. The transmission assets comprise everything between the offshore point of connection with the generating wind farm assets and the

LEXISNEXIS

Foreign exchange (FX) derivatives

BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be treated by the EU as a Member State for many purposes. As a third country, the UK can no longer participate in the EU’s political institutions, agencies,

LEXISNEXIS

CE-File—electronic filing and case management in the Rolls Building and other courts

This Practice Note looks at CE-File electronic working in the courts under CPR PD 51O, in the context of case management. It provides guidance on how to file a document electronically, deal with rejected electronic filings, issue a claim electronically, file electronic bundles (eBundles) for case