Client & matter management

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Practice notes
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...
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19th May
Practice notes
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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19th May
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...
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19th May
Practice notes
Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...
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Produced in partnership with Adam Cygan of University of Leicester 19th May
Practice notes
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,...
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19th May
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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19th May
Practice notes
High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
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19th May
Practice notes
Active bribery, passive bribery and bribing foreign public officialsThe purpose of this Practice Note is to provide a general understanding of the...
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Produced in partnership with Joanne Kane of Carmelite Chambers 19th May
Precedents
In briefThis precedent links to: •a template created by the UK Information Commissioner’s Office (ICO) of the ‘Set II’ or ‘2004’ EU Standard...
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19th May
Practice notes
Introduction to retained EU lawThis Practice Note provides an introduction to retained EU law. It provides an overview of the key definitions and...
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Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May
Practice notes
Safeguards and information barriersProtection of confidential information is fundamental to your relationship with clients, both as a matter of law...
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19th May
Practice notes
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...
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19th May
Practice notes
Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
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19th May
Practice notes
SRA Handbook 2011 [Archived]The SRA Handbook 2011 sets out standards and requirements that individual lawyers and firms are expected to achieve and...
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19th May
Precedents
1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...
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19th May
Practice notes
Working with European lawyers—the Registered European Lawyer (REL) regimeAt 11 pm (GMT) on 31 December 2020, the Brexit transition/implementation...
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19th May

Most recent Client & matter management content

Precedents
Records retention schedule1Introduction1.1This Record retention schedule accompanies and is incorporated into [insert organisation’s name]’s Records...
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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?Section 5.1 of...
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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...
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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?This Q&A deals with the common question: can I charge a client for retrieving and/or...
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31st Jul
Q&As
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...
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31st Jul
Q&As
Are file reviews important?File reviews show that an organisation takes quality and compliance seriously.File reviews and audits provide meaningful...
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31st Jul
Q&As
Should partners read all email correspondence?Proper supervision is a regulatory obligation. Supervision means the management of people and their...
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31st Jul
Q&As
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...
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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?From an accounts rules perspective,...
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Produced in partnership with Sarah Charlton of ILFM 31st Jul
Q&As
What are the SRA’s requirements for supervising remote workers?This Q&A considers the requirements for solicitors and law firms regulated by the...
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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...
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31st Jul
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...
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31st Jul
Q&As
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...
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31st Jul
Q&As
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....
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31st Jul
Q&As
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...
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31st Jul
Practice notes
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...
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31st Jul
Precedents
Client satisfaction surveyYour opinions are very important to us in order to help us continually improve the service we provide.We would be grateful...
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31st Jul
Practice notes
Duties of confidentiality and disclosure—SRA 2011 regime and SRA 2019 regime comparedThis Practice Note contrasts the requirements in the Solicitors...
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31st Jul
Practice notes
Client inception 2019—law firmsSTOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval...
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31st Jul
Practice notes
Supervision—regulatory requirements 2011 [Archived]Supervision means the management of people and their work, and includes supervising fee earners and...
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31st Jul

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