SRA reforms 2019

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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 SRA reforms 2019 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
This presentation has been designed as a training aid that you can use to introduce your staff to the SRA Standards and Regulations and the maze of...
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29th Mar
Practice notes
This Practice Note reflects requirements in the SRA Standards and Regulations together with other regulatory requirements in relation to publicity by...
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24th Mar
Practice notes
The way the Solicitors Regulation Authority (SRA) regulates the solicitors’ profession has been evolving since its inception—from a prescriptive...
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8th Mar
Practice notes
This Practice Note provides guidance on managing financial risk. It reflects the SRA Standards and Regulations 2019 and additional financial...
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Produced in partnership with DG Legal 26th Feb
Precedents
1Our contract with you1.1These Terms of Business (as updated from time to time) apply to all work we do on your behalf. It is an important...
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24th Feb
Precedents
1Introduction1.1We are committed to providing a high-quality legal service. We acknowledge that we may not always get it right, so if something has...
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23rd Feb
Practice notes
What is an undertaking?An undertaking is:•a statement, given orally or in writing, whether or not it includes the word ‘undertake’ or ‘undertaking’•to...
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17th Feb
Precedents
1Compliance officer for legal practice (COLP) detailsName of firm[Insert firm name]Name of COLP[Insert name]Reports to[Insert name]Full time/part...
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14th Feb
Precedents
This Deed is made on [insert date]Parties1[The persons whose names and addresses are set out in the Schedule (each a Partner and together...
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14th Feb
Precedents
1Terms of business1.1[Your contract is solely with [insert name of company or LLP], which has sole legal liability for the work done for you and for...
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14th Feb
Precedents
1Introduction1.1This document sets out our policy for dealing with breaches of regulatory requirements that apply to our firm. Some of these...
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14th Feb
Precedents
1Introduction1.1This document sets out our plan for complying with the numerous regulatory requirements that apply to our business and forms part of...
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14th Feb
Precedents
The table below shows a range of different conflict and confidentiality situations we may encounter. It can be used to help decide whether we can act...
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14th Feb
Precedents
1Compliance officer for finance and administration (COFA) detailsName of firm[Insert firm name]Name of COFA[Insert name]Reports to[Insert name]Full...
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14th Feb
Precedents
This form should be completed by the person responsible for deciding how to deal with the residual balance in question.1Client and matterName of...
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14th Feb
Precedents
1We are committed to providing a high-quality legal service.2We acknowledge that we may not always get it right, so if something has gone wrong,...
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14th Feb
Precedents
1A: Background informationName of person completing this record[Insert name]Compliance breach reference number[To be completed by person conducting...
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14th Feb
Precedents
This Deed is made on [insert date]Parties1[The persons whose names and addresses are set out in the Schedule (each a Partner and together...
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14th Feb
Practice notes
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

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