Client & matter inception

View Practice Compliance by content type:

Latest Practice Compliance News

Featured Practice Compliance content

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...
Read More >
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...
Read More >
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...
Read More >
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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...
Read More >
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,...
Read More >
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...
Read More >
19th May
Practice notes
High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
19th May
Practice notes
Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
Read More >
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...
Read More >
19th May
Precedents
1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...
Read More >
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...
Read More >
19th May

Most recent Client & matter inception content

Practice notes
Client care 2019—law firmsThis Practice Note reflects requirements in the SRA 2019 regime, effective from 25 November 2019. See Practice Note: Client...
Read More >
19th Jul
Precedents
Client and matter inception procedure1Introduction1.1Client and matter inception is an important exercise in protecting our firm, getting to know our...
Read More >
7th Jul
Precedents
CDD client 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
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 formInstructions for completionPlease submit the completed form to [state who] and retain a copy for the matter file. Where you are opening...
Read More >
7th Jul
Precedents
New client formInstructions for completionWhere you are opening a new matter for a new client, you should complete this form together with a new...
Read More >
7th Jul
Precedents
Conflicts of interest—email to staff and fee earnersSubject: New client—conflicts searchPlease email me immediately if you know of any reason why we...
Read More >
23rd Jun
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...
Read More >
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?Section 5.1 of...
Read More >
5th Jun
Practice notes
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 This Practice Note contrasts the requirements in the SRA’s 2011 and 2019 regimes as well as...
Read More >
5th Jun
Practice notes
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 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 comparedThis Practice Note contrasts the requirements in the Solicitors Regulation...
Read More >
5th Jun
Precedents
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]STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits...
Read More >
5th Jun

Popular documents