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Latest Practice Compliance News

Practice Compliance weekly highlights—22 April 2021

Practice Compliance weekly highlights—22 April 2021

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

Practice Compliance forecast as at 20 April 2021

Practice Compliance forecast as at 20 April 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance forecast as at 20 April 2021

Law society urges action as negligence insurance plan ends

Law society urges action as negligence insurance plan ends

The following Insurance & Reinsurance news provides comprehensive and up to date legal information on Law society urges action as negligence insurance plan ends

Comment—UK can learn what a hard Brexit looks like from EU officials’ data-adequacy spat

Comment—UK can learn what a hard Brexit looks like from EU officials’ data-adequacy spat

The following Commercial news provides comprehensive and up to date legal information on Comment—UK can learn what a hard Brexit looks like from EU officials’ data-adequacy spat

Featured Practice Compliance content

Facilitation payments under the Bribery Act 2010

Facilitation payments under the Bribery Act 2010

Facilitating the performance of a duty by public officialsFacilitation payments, also known as facilitating or grease payments, are generally small...

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 courts. Failure to comply with an...

Active bribery, passive bribery and bribing foreign public officials

Active bribery, passive bribery and bribing foreign public officials

The purpose of this Practice Note is to provide a general understanding of the offences under section 1, 2 and 6 of the Bribery Act 2010 (BA 2010). It...

High-risk third countries tracker

High-risk third countries tracker

This Practice Note lists high-risk third countries identified by the Financial Action Task Force (FATF), HM Treasury and the European Commission as...

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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9th Nov
tag iconIn-house
Practice notes

AML and counter-terrorist financing—source of funds

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
tag iconIn-house
Practice notes

Introduction to retained EU law

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
tag iconBrexit
Precedents

Standard contractual clauses—set II—controller to controller (Model Clauses)

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

Anti-bribery and corruption for law firms—post-training assessment questions

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

Compliance officer for legal practice—COLP—title and duties 2011 [Archived]

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 Supervision & file reviews content

Precedents

File audit and file review register

Click for an Excel version of the file audit/review register.

Please note t

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14th Feb
Precedents

Supervision policy 2011 [Archived]

1Supervision structure1.1Supervision is achieved through our management structure and reporting lines. These are shown in our structure chart:...
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14th Feb
Practice notes

Supervision 2019—law firms

The SRA's core regulatory requirements in relation to supervision are found in the two Codes of Conduct (the SRA Code for Solicitors 2019 and the SRA...
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4th Feb
Precedents

Supervision policy—law firms—2019

1IntroductionThis document sets out our supervision arrangements, including:1.1our supervision structure;1.2arrangements for supervising client...
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4th Feb
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 present to our client base. What are the regulatory issues we need to consider?

There is nothing essentially wrong with law firms employing non-lawyers or with law firms engaging with lawyers or non-lawyers to drive clients. The...
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Produced in partnership with Dr David Smith of JMW Solicitors LLP 8th Jan
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 Solicitors Regulation Authority (SRA) when supervising remote...
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7th Dec
Q&As

Should partners read all email correspondence?

Proper supervision is a regulatory obligation. Supervision means the management of people and their work. You must comply with the SRA’s rules on...
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7th Dec
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 keep client money safe.Client money must be:•paid into a client account promptly•held...
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7th Dec
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. See Practice Note: Supervision—SRA 2011 regime and SRA 2019...
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7th Dec
Q&As

Are file reviews important?

File reviews show that an organisation takes quality and compliance seriously.File reviews and audits provide meaningful statistics, and if things...
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7th Dec
Practice notes

File audits or file reviews—the basics

There is no specific regulatory requirement to have a file audit/review process. If you want to achieve Lexcel accreditation then there is a...
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7th Dec
Practice notes

Supervision—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 wider requirements in relation to supervision. There is a...
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7th Dec
Precedents

Remote supervision guidelines for supervisors—law firms

This document provides guidance to [partners OR members OR directors][, managers] and any other member of staff involved in supervising staff working...
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7th Dec
Precedents

Email to all staff following annual or quarterly review of file audit and file review data

Dear AllWe have completed our [annual OR quarterly OR file audit OR review] period.Our [audit OR review] shows that we have made significant...
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7th Dec
Precedents

Risk data—annual review

1General informationReview period[Insert review period]Date of review[Insert date]Person(s) conducting review[Insert name(s)]2ComplaintsNumber of...
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7th Dec
Precedents

Supervision—annual review

1General informationDate of review[Insert date]Person(s) conducting review[Insert name(s)]2Review and findingsIs your Supervision structure chart up...
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7th Dec
Precedents

Quarterly file audit or review monitoring record

1General informationDate of monitoring review[Insert date]Person conducting monitoring review[Insert name]2Consolidated dataCriteriaIn the last...
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7th Dec
Precedents

File audit/review form

1Preliminary dataReason for audit/review(Tick all that apply)☐ Complaint☐ Routine file audit/review☐ Fee earner request☐ AML☐ Other...
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7th Dec
Precedents

Structure chart—day-to-day supervision

A that you

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7th Dec
Practice notes

Supervision—regulatory requirements 2011 [Archived]

Supervision means the management of people and their work, and includes supervising fee earners and non-fee earning staff.Proper supervision is a...
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27th Sep

Popular documents

LEXISNEXIS

Forfeiture of a lease

Coronavirus (COVID-19): During the current pandemic, legislation and changes to practice and procedure in the courts and tribunals have been introduced, which affect the following:•proceedings for possession•forfeiture of business leases on the grounds of non-payment of rent•a landlord's right to

LEXISNEXIS

Recklessness in criminal cases

What is recklessness?In respect of some statutory offences and common law crimes the prosecution are required to prove a mental element of recklessness on the part of the defendant.Recklessness means unjustified risk taking on the part of the accused.Prior to the House of Lords decision in Re G

LEXISNEXIS

What is a tort?

This practice note provides an introduction to tort law by addressing three questions:•what does the concept of being liable in tort mean? And how does tort relate to contract and criminal law•how has the law of tort developed?•what is the scope of tort, ie what interests does it protect? What

LEXISNEXIS

Notice of acting

Case number [insert number][In the principal registryORIn the [insert court location] FAMILY court]Sitting at [insert place]Notice of actingBetween[insert petitioner name]Petitionerand[insert respondent name]RespondentTake notice that we [insert name of firm] have been appointed to act as the