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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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...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

Precedents
Compliance officer for finance and administration—COFA—job description and role profile—20191Compliance officer for finance and administration (COFA)...
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15th Aug
Precedents
Compliance plan—law firms—20191Introduction1.1This document sets out our plan for complying with the numerous regulatory requirements that apply to...
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15th Aug
Precedents
Internal complaint report form—law firmsA complaint can include any expression of dissatisfaction about the service received from us.Complaints may be...
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15th Aug
Precedents
Message to staff on the importance of maintaining client confidentiality when working away from the office (eg during the coronavirus (COVID-19)...
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15th Aug
Precedents
Conflicts, confidentiality and disclosure policy 2019—law firms1Introduction1.1This document sets out our policy for identifying and managing...
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15th Aug
Precedents
Supervision policy—law firms—20191IntroductionThis document sets out our supervision arrangements, including:1.1our supervision...
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15th Aug
Precedents
Compliance breach report form—internal—law firmsThis form should be used by staff to report a suspected compliance breach to the firm’s COLP or...
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15th Aug
Precedents
Financial management policy—law firms1Introduction1.1Sound financial management is critical to the success of any business.1.2Implementing financial...
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15th Aug
Precedents
Conflict and confidentiality matrix—2019The table below shows a range of different conflict and confidentiality situations we may encounter. It can be...
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15th Aug
Precedents
Compliance breach assessment form—law firms1A: Background informationName of person completing this record[Insert name]Compliance breach reference...
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15th Aug
Precedents
Residual balance recordThis form should be completed by the person responsible for deciding how to deal with the residual balance in question.1Client...
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15th Aug
Precedents
Register of approved signatoriesThe following table contains a register of people who are approved to sign on client account, including a description...
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15th Aug
Precedents
Accounts manual for staff—law firms 20191Introduction1.1This accounts manual sets out our [accounting OR finance] systems and controls for fee earners...
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15th Aug
Precedents
Compliance officer for legal practice—COLP—job description and role profile—20191Compliance officer for legal practice (COLP) detailsName of...
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15th Aug
Precedents
Conflicts and confidentiality decision tree 2019—can I act?This conflicts and confidentiality decision tree works through the conflicts and...
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15th Aug
Precedents
Internal complaints handling procedure—law firms—20191Introduction1.1We are committed to providing a high-quality legal service. We acknowledge that...
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15th Aug
Precedents
Accounts manual for accounts or finance team—law firms 20191IntroductionThis document sets out our [accounting OR finance] systems and controls. Any...
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15th Aug
Precedents
Deed of indemnity—compliance officer for legal practice (COLP)This Deed is made on [insert date]Parties1[The persons whose names and addresses are set...
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15th Aug
Precedents
Emergency homeworking risk evaluation1IntroductionThis risk evaluation outlines the risks we have identified as arising from emergency homeworking...
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Produced in partnership with DG Legal 15th Aug
Precedents
Emergency homeworking questionnaire for staff1About youName[Insert name]Role[Insert role]Address[Insert address]Contact telephone number(s)Please...
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Produced in partnership with DG Legal 15th Aug

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