Client & matter inception

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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 inception content

Practice notes
STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval by HM Treasury and any content...
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6th Apr
Precedents
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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28th Jan
Precedents
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 >
28th Jan
Precedents
STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval by HM Treasury and any content...
Read More >
28th Jan
Precedents
STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval by HM Treasury and any content...
Read More >
28th Jan
Practice notes
STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval by HM Treasury and any content...
Read More >
28th Jan
Precedents
STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval by HM Treasury and any content...
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26th Jan
Precedents
STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval by HM Treasury and any content...
Read More >
26th Jan
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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11th Jan
Precedents
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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17th Dec
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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7th Dec
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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7th Dec
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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7th Dec
Precedents
Subject: New client—conflicts searchPlease email me immediately if you know of any reason why we cannot act for [...
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7th Dec
Practice notes
This Practice Note contrasts the requirements in the Solicitors Regulation Authority’s (SRA’s) 2011 and 2019 regimes in relation to conflicts of...
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25th Sep
Practice notes
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...
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25th Sep

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