Client & matter management

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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
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
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...
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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...
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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...
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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...
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9th Nov

Most recent Client & matter management content

Precedents
Date of this project plan[Insert date]Completed by[Insert name of person completing this project plan]Date of last project plan (if any)[Insert...
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13th Apr
Practice notes
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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6th Apr
Q&As
Correspondence sent by third parties to a firm in the course of a matter generally belongs to the client, and copies of that correspondence made by...
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24th Mar
Precedents
1Introduction1.1Maintaining business records in a systematic and reliable manner is essential to comply with our legal and regulatory requirements, eg...
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19th Mar
Precedents
1Introduction1.1This Record retention schedule accompanies and is incorporated into [insert organisation’s name]’s Records management policy. It sets...
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16th Feb
Q&As
Matter files typically contain a range of papers, including electronic information which can be held electronically and/or printed in a physical...
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15th Feb
Precedents

Click for an Excel version of the file audit/review register.

Please note t

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14th Feb
Precedents
1Supervision structure1.1Supervision is achieved through our management structure and reporting lines. These are shown in our structure chart:...
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14th Feb
Precedents
Files are to be reviewed as soon after the end of the matter as possible. This should be no more than [insert period of timeframe within which files...
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14th Feb
Practice notes
The SRA's core regulatory requirements in relation to supervision are found in the two Codes of Conduct (the SRA Code for Solicitors 2019 and the SRA...
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4th Feb
Precedents
1IntroductionThis document sets out our supervision arrangements, including:1.1our supervision structure;1.2arrangements for supervising client...
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4th Feb
Precedents
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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28th Jan
Precedents
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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28th Jan
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
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 >
28th Jan
Practice notes
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 >
28th Jan
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...
Read More >
26th Jan
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...
Read More >
26th Jan
Practice notes
The protection of confidential information is a fundamental feature of the solicitor-client relationship and a core professional principle. Solicitors...
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15th Jan
Practice notes
Client and matter inception is an important exercise in protecting your firm, getting to know your client and what they need from you, and complying...
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11th Jan

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