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Latest Practice Compliance News

The Supreme Court revisits the restraint of trade doctrine and examines solicitors’ undertaking in Harcus Sinclair v Your Lawyers

The Supreme Court revisits the restraint of trade doctrine and examines solicitors’ undertaking in Harcus Sinclair v Your Lawyers

The following Commercial news provides comprehensive and up to date legal information on The Supreme Court revisits the restraint of trade doctrine and examines solicitors’ undertaking in Harcus Sinclair v Your Lawyers

A review of the position six months on from the Supreme Court’s decision in the FCA Business Interruption Insurance Test Case (FCA v Arch)

A review of the position six months on from the Supreme Court’s decision in the FCA Business Interruption Insurance Test Case (FCA v Arch)

The following Commercial news provides comprehensive and up to date legal information on A review of the position six months on from the Supreme Court’s decision in the FCA Business Interruption Insurance Test Case (FCA v Arch)

Practice Compliance weekly highlights—22 July 2021

Practice Compliance weekly highlights—22 July 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—22 July 2021

The emerging role of judicial approval and the absence of findings of fact in DPAs (SFO v Amec Foster Wheeler Energy Ltd)

The emerging role of judicial approval and the absence of findings of fact in DPAs (SFO v Amec Foster Wheeler Energy Ltd)

The following Corporate Crime news provides comprehensive and up to date legal information on The emerging role of judicial approval and the absence of findings of fact in DPAs (SFO v Amec Foster Wheeler Energy Ltd)

Featured Practice Compliance content

What is a solicitor's undertaking?

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...

SRA Code of Conduct for individuals and firms

SRA Code of Conduct for individuals and firms

SRA Code of Conduct for individuals and firmsThis Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and...

Conflicts of interest 2019

Conflicts of interest 2019

Conflicts of interest 2019Conflicts of interest can cause difficult and serious problems for solicitors and law firms, both from a compliance point of...

Legal Services Board

Legal Services Board

Legal Services BoardThe Legal Services Board (LSB) is the single independent oversight regulator of the legal profession and sector in England and...

Practice notes

AML and counter-terrorist financing—source of funds and source of wealth

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
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Practice notes

The Information Commissioner’s Office (ICO)

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]

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]

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
tag iconBrexit
Practice notes

SRA Accounts Rules 2019

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

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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19th May
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Practice notes

High-risk third countries tracker

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
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Practice notes

Active bribery, passive bribery and bribing foreign public officials

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

Standard contractual clauses for international transfers—set II—controller to controller—ICO templates

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 law

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
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Practice notes

Safeguards and information barriers

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 2019

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 2019

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]

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

Financial sanctions policy

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) regime

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
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Most recent Client & matter inception content

Practice notes

Client care 2019—law firms

Client care 2019—law firmsThis Practice Note reflects requirements in the SRA 2019 regime, effective from 25 November 2019. See Practice Note: Client...
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19th Jul
Precedents

Client and matter inception procedure

Client and matter inception procedure1Introduction1.1Client and matter inception is an important exercise in protecting our firm, getting to know our...
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7th Jul
Precedents

CDD client risk assessment form—law firms

CDD client risk assessment form—law firmsInstructions for completionWhen do you have to complete this form?You must complete this form for all new...
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7th Jul
Precedents

CDD matter risk assessment form—law firms

CDD matter risk assessment form—law firmsInstructions for completionWhen do you have to complete this form?You must complete this form for all new...
Read More >
7th Jul
Precedents

New matter form

New matter formInstructions for completionPlease submit the completed form to [state who] and retain a copy for the matter file. Where you are opening...
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7th Jul
Precedents

New client form

New client formInstructions for completionWhere you are opening a new matter for a new client, you should complete this form together with a new...
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7th Jul
Precedents

Conflicts of interest—email to staff and fee earners

Conflicts of interest—email to staff and fee earnersSubject: New client—conflicts searchPlease email me immediately if you know of any reason why we...
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23rd Jun
Practice notes

Client inception 2019—law firms

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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17th Jun
Q&As

Why does the Precedent: CDD matter risk assessment form—law firms include low risk factors that appear to relate to financial services?

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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5th Jun
Practice notes

Conflicts of interest 2019

Conflicts of interest 2019Conflicts of interest can cause difficult and serious problems for solicitors and law firms, both from a compliance point of...
Read More >
5th Jun
Practice notes

Client care—SRA 2011 regime and SRA 2019 regime compared

Client care—SRA 2011 regime and SRA 2019 regime compared This Practice Note contrasts the requirements in the SRA’s 2011 and 2019 regimes as well as...
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5th Jun
Practice notes

Matter inception 2019—law firms

Matter inception 2019—law firmsSTOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval...
Read More >
5th Jun
Practice notes

Client and matter inception [Archived]

Client and matter inception [Archived]Client and matter inception is an important exercise in protecting your firm, getting to know your client and...
Read More >
5th Jun
Practice notes

Conflicts of interest—SRA 2011 regime and SRA 2019 regime compared

Conflicts of interest—SRA 2011 regime and SRA 2019 regime comparedThis Practice Note contrasts the requirements in the Solicitors Regulation...
Read More >
5th Jun
Precedents

Matter inception procedure [Archived]

Matter inception procedure [Archived]STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits...
Read More >
5th Jun
Precedents

Client inception procedure [Archived]

Client inception procedure [Archived]STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits...
Read More >
5th Jun

Popular documents

Medco

Medco

MedcoSTOP PRESS: A new RTA small claims protocol for whiplash claims comes into effect for accidents occurring on or after 31 May 2021. The small claims track limit for personal injury claims arising from an RTA is increased to £5000 in respect of general damages for pain, suffering and loss of

Admissibility of hearsay evidence in criminal proceedings

Admissibility of hearsay evidence in criminal proceedings

Admissibility of hearsay evidence in criminal proceedingsHow to identify hearsayThe definition of hearsay is contained in the Criminal Justice Act 2003 (CJA 2003). It comprises of four essential elements.There must be:•a statement•made out of court•relied on for the truth of the matter stated,

Parent company guarantees (PCGs) in construction

Parent company guarantees (PCGs) in construction

Parent company guarantees (PCGs) in constructionIn the construction industry, parent company guarantees (PCGs) are commonly given to the employer by the main contractor’s holding company to guarantee the performance of the contract by the subsidiary main contractor. This is a requirement in almost

The Financial Assistance Scheme—what are the available benefits?

The Financial Assistance Scheme—what are the available benefits?

The Financial Assistance Scheme—what are the available benefits?THIS PRACTICE NOTE APPLIES TO SCHEMES ENTERING THE FINANCIAL ASSISTANCE SCHEME FROM 1 JANUARY 2012.Where a scheme, its employer(s) and individual members have satisfied the criteria for eligibility into the Financial Assistance Scheme