Sign-in Help

Client care letters & TOB

View Practice Compliance by content type:

Practice notes
Precedents
Q&As
News

Latest Practice Compliance News

City workers arrested in £6m COVID-19 loan fraud probe

City workers arrested in £6m COVID-19 loan fraud probe

The following Corporate Crime news provides comprehensive and up to date legal information on City workers arrested in £6m COVID-19 loan fraud probe

UK crime fighter urges banks to scale back AML reports

UK crime fighter urges banks to scale back AML reports

The following Corporate Crime news provides comprehensive and up to date legal information on UK crime fighter urges banks to scale back AML reports

Exploring the extra-territorial scope of the Data Protection Act 2018

Exploring the extra-territorial scope of the Data Protection Act 2018

The following Commercial news provides comprehensive and up to date legal information on Exploring the extra-territorial scope of the Data Protection Act 2018

GDPR provisions and force majeure clauses

GDPR provisions and force majeure clauses

The following Commercial news provides comprehensive and up to date legal information on GDPR provisions and force majeure clauses

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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
9th Nov

Most recent Client care letters & TOB content

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...
Read More >
26th Jan
Practice notes

Chronological list of changes to client care letter and TOB

This Practice Note contains a chronological list of substantive changes to our Client care letter 2019—law firms and Terms of business 2019—law firms...
Read More >
18th Jan
Precedents

Client care letter 2019—law firms

Dear [Insert client’s name]Re [describe matter]Thank you for your instructions to act on your behalf in connection with [describe matter]. This...
Read More >
14th Jan
Precedents

General retainer 2019

[Letterhead]Dear [insert client’s name]Re [insert summary of the scope of services covered by the general retainer]This general retainer letter and...
Read More >
13th Jan
Precedents

Letter notifying client of new privacy policy

The [law governing the ]way in which we are required to treat your personal data [has changed OR is changing], as a result of [insert reason, eg the...
Read More >
13th Jan
Precedents

Letter explaining CFA—conditional fees from 1 April 2013—insolvency proceedings before 6 April 2016 and privacy proceedings

CFA in privacy or insolvency proceedingsWe have discussed various options for funding your costs, such as:•legal expense insurance, eg under your...
Read More >
13th Jan
Practice notes

Client care letter and terms of business 2019—information requirements

This Practice Note is intended for law firms. It sets out key information requirements in the SRA Standards and Regulations that are relevant to...
Read More >
13th Jan
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...
Read More >
12th Jan
Precedents

Letter to instructing officer enclosing privacy policy

Thank you for providing instructions on behalf of [insert corporate client’s name] in relation to [insert description of matter].We are required to...
Read More >
12th Jan
Precedents

Letter explaining DBA—personal injury and clinical negligence

Standard DBA (personal injury and clinical negligence)We have discussed various options for funding your costs, such as:•legal expense insurance, eg...
Read More >
12th Jan
Precedents

Letter explaining CFA—conditional fees from 1 April 2013—clinical negligence

Standard CFA (success fee and costs insurance premium not recoverable inter partes)We have discussed various options for funding your costs, such...
Read More >
12th Jan
Precedents

Letter explaining DBA—employment tribunal

Standard DBA (employment tribunal)We have discussed various options for funding your costs, such as:•legal expense insurance, eg under your house or...
Read More >
12th Jan
Precedents

Letter explaining CFA—conditional fees from 1 April 2013—personal injury excluding diffuse mesothelioma

Standard CFA (success fee and costs insurance premium not recoverable inter partes)We have discussed various options for funding your costs, such...
Read More >
12th Jan
Precedents

Letter explaining CFA—conditional fees from 1 April 2013—diffuse mesothelioma excluding Diffuse Mesothelioma Payment scheme

CFA in diffuse mesothelioma proceedingsWe have discussed various options for funding your costs, such as:•legal expense insurance, eg under your house...
Read More >
12th Jan
Precedents

Letter explaining DBA—general litigation or advocacy

Standard DBA (general litigation or advocacy)We have discussed various options for funding your costs, such as:•legal expense insurance, eg under your...
Read More >
12th Jan
Precedents

Letter explaining CFA—conditional fees from 1 April 2013—success fee and insurance premium not recoverable between the parties

Standard CFA (success fee and costs insurance premium not recoverable inter partes)We have discussed various options for funding your costs, such...
Read More >
12th Jan
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...
Read More >
Produced in partnership with Sarah Charlton of ILFM 8th Jan
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...
Read More >
Produced in partnership with Russell Kelsall LLB (Hull); LPC (Shef) of TLT 8th Jan
Q&As

Can a firm include time spent on conducting monthly file reviews in costs charged to the client? Would the answer be different if provision for those costs were included in the retainer?

You must ensure clients receive the best possible information about:•how their matter will be priced and•the likely overall cost of the matter and any...
Read More >
Produced in partnership with Peter Steel of Augury Consulting Limited 8th Jan
Precedents

Consent to process personal data—sample wording

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
Read More >
23rd Dec

Popular documents

LEXISNEXIS

What is a contract of insurance?

This Practice Note covers the legal framework and regulatory guidance to be considered in determining whether an arrangement constitutes a contract of insurance and the possible consequences of carrying on activities relating to a contract of insurance without the requisite regulatory permissionsThe

LEXISNEXIS

The Money Laundering Reporting Officer (MLRO)—duties

The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive disclosures under Part 7 of the Proceeds of Crime Act 2002 (POCA 2002) or Part III of the Terrorism Act 2000 (TA 2000)—see Requirement to appoint a

LEXISNEXIS

Payment in lieu of notice (PILON)

The right to notice means a right for the employee to remain in employment for the period of notice, not simply to be paid for it. An employer will therefore often include in the contract an express right to make a payment in lieu of notice ('PILON') as an alternative to giving notice, to ensure

LEXISNEXIS

What is diversity and inclusion (D&I)—law firms

This Practice Note provides a high-level introduction to diversity and inclusion (D&I) and key reasons why it is important to law firms. Specific aspects of D&I are covered in more detail in Practice Notes:•The growing focus on diversity and inclusion (D&I) in law firms•Unconscious bias—law