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Brexit legislation tracker

This Practice Note tracks the progress of UK legislation introduced as part of the legislative project associated with the UK’s withdrawal from the

Conveyancing Quality Scheme (CQS) practice management standards—Precedents content map from 1 May 2019

The Law Society's Conveyancing Quality Scheme (CQS) is a quality standard for residential conveyancing practices. According to the Law Society,

Introduction to the EU GDPR and UK GDPR

Brexit: The Retained General Data Protection Regulation, Retained Regulation (EU) 2016/679 (UK GDPR) regime described in this Practice Note is the UK

Price and service transparency—law firms

From 6 December 2018, law firms must publish information on their website on the prices they charge and what these cover. This does not apply to all

Practice notes

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...

28th Oct

In-house

Practice notes

Money Laundering Regulations 2017—client due diligence—law firms

This Practice Note provides guidance on client due diligence (CDD) which is a central pillar of the anti-money laundering (AML) and counter-terrorist...

12th Oct

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...

9th Oct

In-house

Practice notes

SRA regulatory regime—from 2019

The way the Solicitors Regulation Authority (SRA) regulates the solicitors’ profession has been evolving since its inception—from a prescriptive...

8th Oct

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...

30th Sep

In-house

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...

27th Sep

Practice notes

Closing a client matter

Closing a client matter properly is a basic client care, risk management and housekeeping requirement. There are also regulatory and best practice...

26th Sep

Practice notes

Final client bill

This Practice Note deals with regulatory requirements and practical issues regarding the form and content of a final bill of costs to a client. It...

26th Sep

Practice notes

Breach reporting 2019—law firms

This Practice Note is based on reporting requirements in the SRA Codes of Conduct 2019 (in force from 25 November 2019) as amended by the SRA...

26th Sep

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...

26th Sep

Practice notes

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...

26th Sep

Practice notes

Undertakings and the court

This Practice Note explains:•what powers the court has to enforce undertakings•when it is likely to exercise those powersBreach of an undertaking is...

25th Sep

Practice notes

SRA Code of Conduct for individuals and firms

This Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and Regulations, in force from 25 November 2019. The...

25th Sep

Practice notes

SRA reforms 2019—new and updated content

This Practice Note lists all new and updated content to reflect the SRA Standards and Regulations, in force from 25 November 2019.The Standards and...

25th Sep

Practice notes

SRA Accounts Rules 2019

This Practice Note sets out the requirements of the SRA Accounts Rules 2019 (the 2019 Rules), in force from 25 November 2019, together with supporting...

25th Sep

Practice notes

Handling data subject requests

Brexit: As of exit day (31 January 2020), the UK is no longer an EU Member State, but it has entered an implementation period during which it...

2nd Sep

In-house

Most recent Staff training & awareness content

Precedents

Mini training aid-avoiding bribery and corruption—charitable and political donations

The Bribery Act 2010 (BA 2010) came into force on 1 July 2011. It applies to any business that is incorporated or trades in the UK. It covers bribery...

26th Sep

Precedents

Crime prevention training materials—post-training assessment answers

QuestionCorrect answer1. What does ‘SAR’ stand for?(b) Suspicious Activity Report2. Under what Act do you have an obligation to report suspicions of...

26th Sep

Precedents

Financial sanctions—post-training questions

How to use this testThese questions are designed to test your understanding following your attendance at our training on financial sanctions.After you...

26th Sep

Precedents

Training materials—anti-bribery and corruption for law firms

The Bribery Act 2010 (BA 2010) came into force on 1 July 2011. It applies to any business that is incorporated or trades in the UK. It covers bribery...

26th Sep

Precedents

Mini training aid—avoiding bribery and corruption—agents and intermediaries

The Bribery Act 2010 (BA 2010) came into force on 1 July 2011. It applies to any business that is incorporated or trades in the UK. It covers bribery...

26th Sep

Precedents

Training materials—Financial sanctions

This document contains guidance on subjects impacted by the UK’s withdrawal from the EU. For further reading, see Practice Note: Development of...

26th Sep

Precedents

Training materials—anti-slavery

This presentation has been designed as an aid to train your staff on anti-slavery and ensure they have an awareness and understanding of the Modern...

26th Sep

Precedents

Tax evasion facilitation—post-training assessment answers

QuestionMultiple choice answers1. Under which Act would [insert organisation name] commit an offence if it fails to prevent the facilitation of tax...

26th Sep

Precedents

Mini training aid—avoiding bribery and corruption—Gifts and hospitality

The Bribery Act 2010 came into force on 1 July 2011. It applies to any business that is incorporated or trades in the UK. It covers bribery committed...

26th Sep

Precedents

Anti-bribery and corruption—Gifts and hospitality FAQs

We run our business[es] with integrity. All of us must work together to ensure our business[es] remain[s] untainted by bribery and corruption.This FAQ...

26th Sep

Precedents

AML and counter-terrorist financing training materials—post-training ‘red flag’ identification exercise answers

Scenario A: Politically exposed personYou have been approached by a new client with instructions to assist in the purchase of a football club. The...

26th Sep

Precedents

AML and counter-terrorist financing training materials—post-training ‘red flag’ identification exercise

Scenario A: Politically exposed personYou have been approached by a new client with instructions to assist in the purchase of a football club. The...

26th Sep

Precedents

Anti-bribery and corruption—charitable and political donations FAQs

We run our business[es] with integrity. All of us must work together to ensure our business[es] remain[s] untainted by bribery and corruption.This FAQ...

26th Sep

Precedents

Training materials—tax evasion facilitation

The corporate offence of failure to prevent the criminal facilitation of tax evasion is created by the Criminal Finances Act 2017 (CFA 2017),which...

26th Sep

Precedents

Training materials—fraud prevention—law firms

This presentation has been designed as a training aid that you can use to introduce your staff to fraud prevention and awareness, including property...

26th Sep

Precedents