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Latest Practice Compliance News

MP vows to keep pushing tougher economic crime law

MP vows to keep pushing tougher economic crime law

The following Corporate Crime news provides comprehensive and up to date legal information on MP vows to keep pushing tougher economic crime law

Practice Compliance weekly highlights—10 September 2020

Practice Compliance weekly highlights—10 September 2020

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—10 September 2020

Practice Compliance monthly highlights—September 2019

Practice Compliance monthly highlights—September 2019

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance monthly highlights—September 2019

Employer in Greece fined €150,000 for relying on consent to process data under GDPR

Employer in Greece fined €150,000 for relying on consent to process data under GDPR

The following Employment news provides comprehensive and up to date legal information on Employer in Greece fined €150,000 for relying on consent to process data under GDPR

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 Complaints content

Practice notes

Complaints 2019—law firms

This Practice Note reflects requirements in the Solicitors Regulation Authority (SRA) Codes of Conduct 2019 (2019 Codes) in relation to complaints, in...
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15th Jan
Practice notes

Handling complaints during the coronavirus (COVID-19) epidemic—law firms

The Legal Ombudsman (LeO) has published guidance for legal service providers, setting out its approach when considering complaints as a result of the...
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15th Jan
tag iconCOVID-19
Practice notes

Complaints—SRA 2011 regime and SRA 2019 regime compared

This Practice Note contrasts the requirements in the Solicitors Regulation Authority’s (SRA’s) 2011 and 2019 regimes as well as wider requirements in...
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15th Jan
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 8th Jan
Precedents

Letter to complainant—written response—deadlock or final letter

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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17th Dec
Practice notes

Law firms and the ODR platform [Archived]

ARCHIVED: This Practice Note has been archived and is not maintained.The European Online Dispute Resolution (ODR) platform was established by the...
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17th Dec
Practice notes

Complaints—regulatory requirements—law firms 2011 [Archived]

You must comply with the Solicitors Regulation Authority's rules on complaints handling, together with any requirements specified by the Legal...
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17th Dec
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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17th Dec
Precedents

External complaints policy 2019—law firms

1We are committed to providing a high-quality legal service.2We acknowledge that we may not always get it right, so if something has gone wrong,...
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10th Dec
Precedents

Complaint acknowledgement letter—law firms

[Insert complainant’s name][Insert complainant’s contact address]Our ref: [insert complaint reference number]Dear [Insert complainant’s name]My name...
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10th Dec
Precedents

External complaints policy 2011 [Archived]

1We are committed to providing a high-quality legal service. 2We acknowledge that we may not always get it right so if something has gone wrong,...
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8th Dec
Q&As

Is it mandatory to refer to the firm's complaints partner in its terms of business?

Practice Notes: Complaints 2019—law firms and Client care letter and terms of business 2019—information requirements set out information requirements...
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7th Dec
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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7th Dec
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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7th Dec
Q&As

What do I have to do on complaints to comply with the Consumer ADR Regulations 2015?

Brexit: The ODR platform will still be accessible to UK consumers until at least the end of the implementation period on 31 December 2020. The...
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7th Dec
Q&As

What is the absolute time limit for referring complaints to the Legal Ombudsman?

Effectively, there are five different time limits:8 weeksAfter which a complainant can refer their claim to Legal Ombudsman (LeO) if you have failed...
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7th Dec
Practice notes

Legal complaints handling—regulatory bodies

This Practice Note sets out details of the various bodies that have responsibilities for and interests in legal complaints handling, including the...
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7th Dec
Precedents

Internal complaint report form—law firms

A complaint can include any expression of dissatisfaction about the service received from us.Complaints may be received in writing (letter, fax or...
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7th Dec
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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7th Dec
Precedents

Complaints training record

This Precedent can be used to help you record the training you provide to staff on complaints.Click to download this record in Excel.GeneralCourse...
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7th Dec

Popular documents

LEXISNEXIS

Forming enforceable contracts—consideration

This Practice Note examines the doctrine of consideration and the key role it plays in English law in determining whether a contract is enforceable.A promise will only be capable of being contractually enforced if it is either made in a deed or made in exchange for something of value, known as

LEXISNEXIS

Strike out—no reasonable grounds for bringing or defending the claim (CPR 3.4(2)(a))

Coronavirus (COVID-19): The guidance detailing normal practice set out in this Practice Note may be affected by measures concerning process and procedure in the civil courts that have been introduced as a result of the coronavirus (COVID-19) pandemic. For guidance, see Practice Note: Coronavirus

LEXISNEXIS

Forfeiture of a lease

Coronavirus (COVID-19): During the current pandemic, legislation and changes to practice and procedure in the courts and tribunals have been introduced, which affect the following:•proceedings for possession•forfeiture of business leases on the grounds of non-payment of rent•a landlord's right to

LEXISNEXIS

Third party rights—the common law doctrine of privity of contract

This Practice Note discusses the common law doctrine of privity of contract; the equitable and statutory exceptions to it; how the doctrine affects enforcing a contract against a third party and what happens when, notwithstanding the lack of privity, a contract has an indirect effect on a third