Client & matter management

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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...
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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
IntroductionThis Record retention schedule accompanies and is incorporated into [insert organisation’s name]’s Record management policy. It sets out...
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19th Nov
Precedents
Instructions for completionWhen do you have to complete this form?You must complete this form for all new clients[ who are subject to the anti-money...
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12th Nov
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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10th Nov
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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10th Nov
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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23rd Oct
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...
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22nd Oct
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...
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22nd Oct
Precedents
Instructions for completionPlease submit the completed form to [state who] and retain a copy for the matter file. Where you are opening a new matter...
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19th Oct
Precedents
Subject: New client—conflicts searchPlease email me immediately if you know of any reason why we cannot act for [...
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19th Oct
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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19th Oct
Precedents
Instructions for completionWhen do you have to complete this form?You must complete this form for all new matters[ that are subject to the anti-money...
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14th Oct
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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12th Oct
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...
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9th Oct
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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9th Oct
Q&As
Section 5.1 of Precedent: CDD matter risk assessment form—law firms contains a list of potential factors that may indicate that simplified due...
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28th Sep
Q&As
You are required to retain matter files (paper or electronic) for a period of time after the conclusion of the matters. The length of time a file...
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28th Sep
Q&As
File reviews show that an organisation takes quality and compliance seriously.File reviews and audits provide meaningful statistics, and if things...
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28th Sep
Q&As
We do not have a standard form of wording of this kind on Lexis®PSL. These sorts of situations tend to be highly fact specific, and the advice given...
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28th Sep
Q&As
From an accounts rules perspective, the Solicitors Regulation Authority is silent on this specific point, but the Law Society considers accounting...
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Produced in partnership with Sarah Charlton of ILFM 28th Sep
Q&As
The overarching objective of the SRA Accounts Rules 2019 is to keep client money safe.Client money must be:•paid into a client account promptly•held...
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28th Sep

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