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Latest Practice Compliance News

US Congress to tackle anticorruption legislation, including bill to outlaw foreign bribe solicitation

US Congress to tackle anticorruption legislation, including bill to outlaw foreign bribe solicitation

The following Corporate Crime news provides comprehensive and up to date legal information on US Congress to tackle anticorruption legislation, including bill to outlaw foreign bribe solicitation

OFAC settlement extends sanctions reach beyond US dollar

OFAC settlement extends sanctions reach beyond US dollar

The following Corporate Crime news provides comprehensive and up to date legal information on OFAC settlement extends sanctions reach beyond US dollar

Practice Compliance weekly highlights—16 September 2021

Practice Compliance weekly highlights—16 September 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—16 September 2021

EU to propose ban on forced labour-linked products, Von der Leyen says

EU to propose ban on forced labour-linked products, Von der Leyen says

The following Commercial news provides comprehensive and up to date legal information on EU to propose ban on forced labour-linked products, Von der Leyen says

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
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

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
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 Financial services content

Practice notes

Consumer credit and client fee arrangements

Consumer credit and client fee arrangementsLaw firms might be caught by the consumer credit regime:•by entering into a consumer credit agreement as...
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15th Aug
Practice notes

Insurance mediation activities—regulatory requirements [Archived]

Insurance mediation activities—regulatory requirements [Archived]This Practice Note has been archived and is not maintained. It relates to the...
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15th Aug
Q&As

What is the role of the FCA compliance officer?

What is the role of the FCA compliance officer?The Financial Conduct Authority (FCA) is the single statutory regulator of the financial services...
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15th Aug
Practice notes

Drafting and varying consumer credit agreements

Drafting and varying consumer credit agreementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Reanne MacKenzie of Henderson Chambers 11th Aug
Q&As

What constitutes ‘a personalised explanation’ (of why a particular insurance contract best meets the client’s demands and needs) and can law firms give this explanation in writing only.

What constitutes ‘a personalised explanation’ (of why a particular insurance contract best meets the client’s demands and needs) and can law firms...
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31st Jul
Q&As

Would a law firm providing advice to a client in relation to an insurance policy (where an insurance broker has been retained by the client) constitute an insurance distribution activity?

Would a law firm providing advice to a client in relation to an insurance policy (where an insurance broker has been retained by the client)...
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31st Jul
Q&As

Does the insurance distribution regime apply to commercial clients—law firms?

Does the insurance distribution regime apply to commercial clients—law firms?The requirements of the Solicitors Regulation Authority’s (SRA’s)...
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31st Jul
Precedents

Fee arrangement and consumer credit—decision tree

Fee arrangement and consumer credit—decision treeLaw firms might be caught by the consumer credit regime by entering into a consumer credit agreement...
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31st Jul
Precedents

Ancillary consumer credit—decision tree

Ancillary consumer credit—decision treeLaw firms might be caught by the consumer credit regime by entering into a consumer credit agreement as lender,...
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30th Jul

Popular documents

Directors’ remuneration

Directors’ remuneration

Directors’ remunerationCompany directors are not, by virtue only of their office as director, automatically entitled under company law to remuneration for services as a director or to reimbursement of expenses incurred in rendering such services. Power to pay directors remuneration for their

Judicial review—time limits and the pre-action protocol

Judicial review—time limits and the pre-action protocol

Judicial review—time limits and the pre-action protocolWhen considering whether and how to bring a claim for judicial review, the first step is to consider whether judicial review is be an appropriate means of addressing the issues raised by the case at hand. For further guidance, see Practice Note:

Joint, several, and joint and several liability

Joint, several, and joint and several liability

Joint, several, and joint and several liabilityContractWhere a contract is made by two or more parties it may contain a promise or obligation made by two or more of those parties. Any such promise may be:•joint•several, or•joint and severalWhether an undertaking is joint, several, or joint and

Tort—the different types of tort

Tort—the different types of tort

Tort—the different types of tortThis Practice Note identifies the main torts (bar negligence and nuisance, which are covered elsewhere in our related content) and their key characteristics. Specifically:•trespass to land•trespass to the person•privacy/defamation•liability for animals•employers'