Client & matter management

View Practice Compliance by content type:

News

Practice notes

Precedents

Q&As

Latest Practice Compliance News

European Union and UK government initiatives on money laundering and terrorism finance

The following Corporate Crime news provides comprehensive and up to date legal information on European Union and UK government initiatives on money laundering and terrorism finance

Practice Compliance weekly highlights—29 July 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—29 July 2021

How anti-corruption push affects US companies operating abroad

The following Corporate Crime news provides comprehensive and up to date legal information on How anti-corruption push affects US companies operating abroad

EU seeks to improve data transfers to boost AML fight

The following Corporate Crime news provides comprehensive and up to date legal information on EU seeks to improve data transfers to boost AML fight

Featured Practice Compliance content

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...

SRA Code of Conduct for individuals and firms

SRA Code of Conduct for individuals and firmsThis Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and...

Conflicts of interest 2019

Conflicts of interest 2019Conflicts of interest can cause difficult and serious problems for solicitors and law firms, both from a compliance point of...

Legal Services Board

Legal Services BoardThe Legal Services Board (LSB) is the single independent oversight regulator of the legal profession and sector in England and...

Practice notes

AML and counter-terrorist financing—source of funds and source of wealth

AML and counter-terrorist financing—source of funds and source of wealthSource of funds and wealth was a key focus of the SRA’s Preventing Money...

19th May

In-house

Practice notes

The Information Commissioner’s Office (ICO)

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

19th May

Practice notes

Compliance officer for legal practice—COLP—title and duties 2011 [Archived]

Compliance officer for legal practice—COLP—title and duties 2011 [Archived]The compliance officer for legal practice (COLP) sits at the heart of the...

19th May

Practice notes

Brexit—exiting the EU under Article 50 [Archived]

Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...

Produced in partnership with Adam Cygan of University of Leicester 19th May

Brexit

Practice notes

SRA Accounts Rules 2019

SRA Accounts Rules 2019This Practice Note sets out the requirements of the SRA Accounts Rules 2019 (the 2019 Rules), in force from 25 November 2019,...

19th May

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...

19th May

In-house

Practice notes

High-risk third countries tracker

High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...

19th May

In-house

Practice notes

Active bribery, passive bribery and bribing foreign public officials

Active bribery, passive bribery and bribing foreign public officialsThe purpose of this Practice Note is to provide a general understanding of the...

Produced in partnership with Joanne Kane of Carmelite Chambers 19th May

Precedents

Standard contractual clauses for international transfers—set II—controller to controller—ICO templates

In briefThis precedent links to: •a template created by the UK Information Commissioner’s Office (ICO) of the ‘Set II’ or ‘2004’ EU Standard...

19th May

Practice notes

Introduction to retained EU law

Introduction to retained EU lawThis Practice Note provides an introduction to retained EU law. It provides an overview of the key definitions and...

Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May

Brexit

Practice notes

Safeguards and information barriers

Safeguards and information barriersProtection of confidential information is fundamental to your relationship with clients, both as a matter of law...

19th May

Practice notes

Undertakings and the SRA 2019

Undertakings and the SRA 2019What is an undertaking?An undertaking is:•a statement, given orally or in writing, whether or not it includes the word...

19th May

Practice notes

Duties of confidentiality and disclosure 2019

Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...

19th May

Practice notes

SRA Handbook 2011 [Archived]

SRA Handbook 2011 [Archived]The SRA Handbook 2011 sets out standards and requirements that individual lawyers and firms are expected to achieve and...

19th May

Precedents

Financial sanctions policy

1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...

19th May

Practice notes

Working with European lawyers—the Registered European Lawyer (REL) regime

Working with European lawyers—the Registered European Lawyer (REL) regimeAt 11 pm (GMT) on 31 December 2020, the Brexit transition/implementation...

19th May

Brexit

Most recent Client & matter management content

Precedents

Records retention schedule

Records retention schedule1Introduction1.1This Record retention schedule accompanies and is incorporated into [insert organisation’s name]’s Records...

1st Aug

Q&As

Why does the Precedent: CDD matter risk assessment form—law firms include low risk factors that appear to relate to financial services?

Why does the Precedent: CDD matter risk assessment form—law firms include low risk factors that appear to relate to financial services?Section 5.1 of...

31st Jul

Q&As

We are considering working with a non-lawyer, on a self-employed/part time consultancy basis to help promote the firm, eg to chair conferences and present to our client base. What are the regulatory issues we need to consider?

We are considering working with a non-lawyer, on a self-employed/part time consultancy basis to help promote the firm, eg to chair conferences and...

Produced in partnership with David Smith of Anthony Gold Solicitors 31st Jul

Q&As

Can I charge a client for retrieving and or returning their file?

Can I charge a client for retrieving and or returning their file?This Q&A deals with the common question: can I charge a client for retrieving and/or...

31st Jul

Q&As

Is it necessary to keep both electronic copies and paper copies of emails and documents in a client matter?

Is it necessary to keep both electronic copies and paper copies of emails and documents in a client matter?You are required to retain matter files...

31st Jul

Q&As

Are file reviews important?

Are file reviews important?File reviews show that an organisation takes quality and compliance seriously.File reviews and audits provide meaningful...

31st Jul

Q&As

Should partners read all email correspondence?

Should partners read all email correspondence?Proper supervision is a regulatory obligation. Supervision means the management of people and their...

31st Jul

Q&As

Are there any rules or guidance about the handling of cheques that come in the post?

Are there any rules or guidance about the handling of cheques that come in the post?The overarching objective of the SRA Accounts Rules 2019 is to...

31st Jul

Q&As

Is a client entitled to see a copy of their client account ledger and/or and any payments made from office account?

Is a client entitled to see a copy of their client account ledger and/or and any payments made from office account?From an accounts rules perspective,...

Produced in partnership with Sarah Charlton of ILFM 31st Jul

Q&As

What are the SRA’s requirements for supervising remote workers?

What are the SRA’s requirements for supervising remote workers?This Q&A considers the requirements for solicitors and law firms regulated by the...

31st Jul

Q&As

Is there a standard form of wording that could be used for signature by clients who wish to instruct us to proceed with a particular course of action contrary to our advice, or acknowledging that it might not achieve the outcome they seek?

Is there a standard form of wording that could be used for signature by clients who wish to instruct us to proceed with a particular course of action...

31st Jul

Q&As

Who owns the matter file?

Who owns the matter file?Matter files typically contain a range of papers, including electronic information which can be held electronically and/or...

31st Jul

Q&As

Do I have to use the matter closure letter to tell the client about my file destruction arrangements?

Do I have to use the matter closure letter to tell the client about my file destruction arrangements?Closing a client matter properly is a basic...

31st Jul

Q&As

Do we have to have a partner in supervision at every office?

Do we have to have a partner in supervision at every office?This Q&A reflects requirements in the SRA 2019 regime, effective from 25 November 2019....

31st Jul

Q&As

Should attendance notes be filed for all client meetings even when a narrative is provided in our time recording system?

Should attendance notes be filed for all client meetings even when a narrative is provided in our time recording system?There are no specific SRA...

31st Jul

Practice notes

File audits or file reviews—the basics

File audits or file reviews—the basicsThere is no specific regulatory requirement to have a file audit/review process. If you want to achieve Lexcel...

31st Jul

Precedents

Client satisfaction survey

Client satisfaction surveyYour opinions are very important to us in order to help us continually improve the service we provide.We would be grateful...

31st Jul

Practice notes

Duties of confidentiality and disclosure—SRA 2011 regime and SRA 2019 regime compared

Duties of confidentiality and disclosure—SRA 2011 regime and SRA 2019 regime comparedThis Practice Note contrasts the requirements in the Solicitors...

31st Jul

Practice notes

Client inception 2019—law firms

Client inception 2019—law firmsSTOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval...

31st Jul

Practice notes

Supervision—regulatory requirements 2011 [Archived]

Supervision—regulatory requirements 2011 [Archived]Supervision means the management of people and their work, and includes supervising fee earners and...

31st Jul

First
1
2
3
4
Last

Client & matter management

View Practice Compliance by content type:

Latest Practice Compliance News

European Union and UK government initiatives on money laundering and terrorism finance

Practice Compliance weekly highlights—29 July 2021

How anti-corruption push affects US companies operating abroad

EU seeks to improve data transfers to boost AML fight

Featured Practice Compliance content

What is a solicitor's undertaking?

SRA Code of Conduct for individuals and firms

Conflicts of interest 2019

Legal Services Board

Most recent Client & matter management content

Popular documents

Hearsay evidence in civil litigation

Standard Commercial Property Conditions (Third Edition—2018 Revision)

What is a certificate of title?

Common law offence of false imprisonment

Contact Us

Popular Links

Policies

Follow us