Vulnerable clients

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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...
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9th Nov
Precedents
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
Practice notes
This Practice Note lists high-risk third countries identified by the Financial Action Task Force (FATF), HM Treasury and the European Commission as...
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9th Nov
Practice notes
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...
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Produced in partnership with Joanne Kane of Carmelite Chambers 12th Jan
Practice notes
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...
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9th Nov
Practice notes
Facilitating the performance of a duty by public officialsFacilitation payments, also known as facilitating or grease payments, are generally small...
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Produced in partnership with Richard Furlong of Carmelite Chambers 12th Jan

Most recent Vulnerable clients content

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...
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15th May
Practice notes
Client care 2019—law firmsThis Practice Note reflects requirements in the SRA 2019 regime, effective from 25 November 2019. See Practice Note: Client...
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15th May
Practice notes
Identifying and responding to the needs of vulnerable clientsSolicitors and law firms often provide legal services to clients who are going through...
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15th May
Practice notes
Vulnerable clients—regulatory requirementsThis Practice Note sets out the regulatory requirements when acting for vulnerable clients. It also explains...
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15th May
Precedents
1General informationClient name(s)[Insert client name(s)]File reference number[Insert file reference number]Matter type[Insert brief description of...
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10th May
Precedents
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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28th 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...
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11th Jan
Precedents
1Introduction1.1This vulnerable client policy is designed to ensure the service we provide to vulnerable clients takes account of their attributes,...
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7th Dec
Precedents
1Preliminary dataReason for audit/review(Tick all that apply)☐ Complaint☐ Routine file audit/review☐ Fee earner request☐ AML☐ Other...
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7th Dec

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