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Practice notes
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
Practice notes
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]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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...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
Practice notes
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
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
Practice notes
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
Practice notes
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
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 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
Practice notes
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 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 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
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19th May
Precedents
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]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) regimeAt 11 pm (GMT) on 31 December 2020, the Brexit transition/implementation...
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19th May

Most recent Keeping up to date content

Practice notes
Instructing third parties 2019This Practice Note reflects requirements in the SRA Codes of Conduct 2019 in relation to instructing third parties, in...
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9th Sep
Practice notes
What’s new and what’s changed in 2020—Practice Compliance [Archived]ARCHIVED: This Practice Note has been archived and is not maintained. For more...
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8th Sep
Practice notes
Brexit—introduction to the Withdrawal AgreementThe UK’s formal withdrawal from the EU took effect at 11 pm on 31 January 2020 (exit day). At this...
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Produced in partnership with Kieran Laird of Gowling WLG 8th Sep
Practice notes
Development of sanctions regime in the UK during the Brexit transition period [Archived]ARCHIVED: This Practice Note has been archived and is not...
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6th Sep
Practice notes
What’s new and what’s changed in 2018—Practice Compliance [Archived]ARCHIVED: This Practice Note has been archived and is not maintained. For more...
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3rd Sep
Precedents
Client care letter 2019—law firmsDear [Insert client’s name]Re [describe matter]Thank you for your instructions to act on your behalf in connection...
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2nd Sep
Precedents
General retainer 2019[Letterhead]Dear [insert client’s name]Re [insert summary of the scope of services covered by the general retainer]This general...
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2nd Sep
Practice notes
Client inception 2019—law firmsClient and matter inception is an important exercise in protecting your firm, getting to know your client and what they...
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2nd Sep
Practice notes
Coronavirus (COVID-19)—employment data protection issuesFrom IP completion day (11pm on 31 December 2020), Regulation (EU) 2016/679, General Data...
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1st Sep
Precedents
Breach reporting policy—law firms1Introduction1.1This document sets out our policy for dealing with breaches of regulatory requirements that apply to...
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1st Sep
Precedents
Compliance breach register—law firmsPlease click for an Excel version of this register.This Precedent compliance breach register is intended for use...
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27th Aug
Practice notes
Breach reporting 2019—law firmsThis Practice Note is based on reporting requirements in the SRA Codes of Conduct 2019 as amended by the SRA Regulatory...
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27th Aug
Precedents
Terms of business 2019—law firms1Our contract with you1.1These Terms of Business (as updated from time to time) apply to all work we do on your...
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26th Aug
Practice notes
Coronavirus (COVID-19)—guidance for law firms [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note...
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26th Aug
Practice notes
Brexit risk management guide [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.Why you need to manage this riskThis risk...
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Produced in partnership with Chris Bryant of Bryan Cave Leighton Paisner 26th Aug
Practice notes
Preparing for Brexit—key considerations and action planning—law firms [Archived]ARCHIVED: This Practice Note has been archived and is not maintained....
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26th Aug
Practice notes
The Data Protection Act 2018The Data Protection Act 2018 (DPA 2018) came into force on 25 May 2018. As first enacted it introduced four distinct data...
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25th Aug
Practice notes
Brexit—contract risk management [Archived]ARCHIVED: This Practice Note has been archived and is not maintained. It analyses the potential impact of...
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25th Aug
Precedents
Policy—Coronavirus (COVID-19) testing1Introduction1.1This policy sets out the Company’s approach to testing staff for coronavirus (COVID-19). It...
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25th Aug
Practice notes
Matter inception 2019—law firmsClient and matter inception is an important exercise in protecting your firm, getting to know your client and what they...
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23rd Aug

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