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Latest Practice Compliance News

Practice Compliance weekly highlights—8 April 2021

Practice Compliance weekly highlights—8 April 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—8 April 2021

LexisPSL and MLex trial new interactive EU GDPR enforcement tracker

LexisPSL and MLex trial new interactive EU GDPR enforcement tracker

The following Commercial news provides comprehensive and up to date legal information on LexisPSL and MLex trial new interactive EU GDPR enforcement tracker

DPAs may not be receiving sufficient judicial scrutiny

DPAs may not be receiving sufficient judicial scrutiny

The following Corporate Crime news provides comprehensive and up to date legal information on DPAs may not be receiving sufficient judicial scrutiny

Practice Compliance weekly highlights—1 April 2021

Practice Compliance weekly highlights—1 April 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—1 April 2021

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 Client & matter management content

Precedents

Matter project plan

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

Matter inception 2019—law firms

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

Do I have to return original correspondence to a third party from a matter I am no longer instructed on where that person has requested access to it under the General Data Protection Regulation?

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

Records management policy

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

Records retention schedule

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

Who owns the matter file?

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

File audit and file review register

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

Please note t

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14th Feb
Precedents

Supervision policy 2011 [Archived]

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

Concluding risk assessment or review

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

Supervision 2019—law firms

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

Supervision policy—law firms—2019

1IntroductionThis document sets out our supervision arrangements, including:1.1our supervision structure;1.2arrangements for supervising client...
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4th Feb
Precedents

CDD client risk assessment form—law firms

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

CDD matter risk assessment form—law firms

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

New matter form

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

New client form

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

Client inception 2019—law firms

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

Client inception procedure [Archived]

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

Matter inception procedure [Archived]

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

Duties of confidentiality and disclosure 2019

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 [Archived]

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...
Read More >
11th Jan

Popular documents

LEXISNEXIS

Escrow accounts and escrow agreements

This Practice Note examines why parties involved in a construction project may enter into an escrow agreement (or escrow deed) to set up an escrow account. It looks at the benefits of paying funds into escrow, how an escrow account operates and the provisions typically found in an escrow

LEXISNEXIS

Build Operate Transfer (BOT) contracts

The Public Private Partnership (PPP) models are a popular way for governments to involve private investment, expertise and risk in procuring infrastructure, with the potential to deliver a project more efficiently and economically. One of the most popular PPP models for procuring infrastructure

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

LEXISNEXIS

Declaratory relief of planning decisions

A declaratory judgment is a judgment identifying the rights, duties or obligations of one or more parties in a dispute. It is legally binding, but does not order any action by a party. A court may issue it alone or in conjunction with some other relief such as an injunction and can be granted on an