Client & matter management

Client & matter management guidance:

This Practice Note explains how to develop and embed a successful file audit/file review process in your firm. See Practice Note: File audits or file reviews—the basics...

Practice Note

Instructions for completion When do you have to complete this form? You must complete this form for all new clients[ who are subject to the anti-money laundering (AML)...

Precedents

Instructions for completion When do you have to complete this form? You must complete this form for all new matters[ that are subject to the anti-money laundering (AML)...

Precedents

Forthcoming changes: The UK has voted to leave the EU and this will take place on exit day as defined in section 20 of the European Union (Withdrawal) Act 2018. This has...

Practice Note

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 with a number of...

Practice Note

1 Introduction 1.1 Client and matter inception is an important exercise in protecting our firm, getting to know our clients and what they need from us, and complying with...

Precedents

This Practice Note reflects requirements in the SRA 2019 regime, effective from 25 November 2019. See Practice Note: Client care—SRA 2011 regime and SRA 2019 regime...

Practice Note

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 separate Practice...

Practice Note

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 with a number of...

Practice Note

STOP PRESS: The SRA Standards and Regulations (also known as the ‘StaRs’) are in force from 25 November 2019. They replace the SRA Handbook 2011. Key changes include...

Precedents

1 Introduction 1.1 Client and matter inception is an important exercise in protecting our firm, getting to know our clients and what they need from us, and complying with...

Precedents

Your opinions are very important to us in order to help us continually improve the service we provide. We would be grateful if you could complete this form and return it...

Precedents

Closing a client matter properly is a basic client care, risk management and housekeeping requirement. There are also regulatory and best practice issues to consider....

Practice Note

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 should be reviewed]....

Precedents

Conflicts of interest can cause difficult and serious problems for solicitors and law firms, both from a compliance point of view and in your client relationships. If a...

Practice Note

This Practice Note contrasts the requirements in the Solicitors Regulation Authority’s (SRA’s) 2011 and 2019 regimes in relation to conflicts of interest. For more...

Practice Note

Supervision means the management of people and their work. Proper supervision is a statutory and regulatory obligation. You may have to justify your supervision...

Practice Note

The protection of confidential information is a fundamental feature of the solicitor-client relationship and a core professional principle. Solicitors also have a duty to...

Practice Note

This Practice Note contrasts the requirements in the Solicitors Regulation Authority’s (SRA’s) 2011 and 2019 regimes in relation to the duties of confidentiality and...

Practice Note

Dear All We have completed our [annual OR quarterly OR file audit OR review] period. Our [audit OR review] shows that we have made significant improvements in areas such...

Precedents

1 Preliminary data Reason for audit/review (Tick all that apply)☐ Complaint☐ Routine file audit/review☐ Fee earner request☐ AML☐ Other (describe) Date[Insert date] File...

Precedents

There is no specific regulatory requirement to have a file audit/review process. If you want to achieve Lexcel accreditation then there is a requirement for you to have a...

Practice Note

1 General information Client name(s)[Insert client name(s)] File reference number[Insert file reference number] Matter type[Insert brief description of the matter, eg...

Precedents

This precedent contains suggested actions you may wish to take for various types of items typically found on matter files when you are thinning the file down ready for...

Precedents

Front page of bill [insert client name and address]Invoice number: [insert number] Invoice date: [insert date] VAT number: [insert number] Client: [insert client name]...

Precedents

Dear [Name] Re: [matter reference and description] We have now completed the legal services for which we were instructed. We would like to take this opportunity to thank...

Precedents
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