Vulnerable clients

View Practice Compliance by content type:

Latest Practice Compliance News

Featured Practice Compliance content

Precedents
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
Practice notes
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
Practice notes
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
Precedents
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
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
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 Vulnerable clients content

Practice notes
This Practice Note sets out the regulatory requirements when acting for vulnerable clients. It also explains the importance of ensuring you maintain a...
Read More >
15th Jan
Practice notes
Solicitors and law firms often provide legal services to clients who are going through some of the most difficult times in their lives. Some of these...
Read More >
15th Jan
Precedents
Instructions for completionWhere you are opening a new matter for a new client, you should complete this form together with a new matter form. Please...
Read More >
12th Jan
Precedents
1Introduction1.1Client care is central to the regulatory regime under which we operate. [Insert name of firm] is committed to providing a good...
Read More >
11th Jan
Practice notes
This Practice Note reflects requirements in the SRA 2019 regime, effective from 25 November 2019. See Practice Note: Client care—SRA 2011 regime and...
Read More >
7th Dec
Practice notes
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...
Read More >
7th Dec
Precedents
1Introduction1.1This vulnerable client policy is designed to ensure the service we provide to vulnerable clients takes account of their attributes,...
Read More >
7th Dec
Precedents
1General informationClient name(s)[Insert client name(s)]File reference number[Insert file reference number]Matter type[Insert brief description of...
Read More >
7th Dec
Precedents
1Preliminary dataReason for audit/review(Tick all that apply)☐ Complaint☐ Routine file audit/review☐ Fee earner request☐ AML☐ Other...
Read More >
7th Dec

Popular documents