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Practice notes
This Practice Note provides guidance on client due diligence (CDD) which is a central pillar of the anti-money laundering (AML) and counter-terrorist...
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12th Oct
Practice notes
This Practice Note lists high-risk third countries identified by the Financial Action Task Force (FATF), HM Treasury and the European Commission as...
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9th Oct
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 Oct
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 Oct
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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30th Sep
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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27th Sep
Practice notes
Closing a client matter properly is a basic client care, risk management and housekeeping requirement. There are also regulatory and best practice...
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26th Sep
Practice notes
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...
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26th Sep
Practice notes
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...
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26th Sep
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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26th Sep
Practice notes
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...
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26th Sep
Practice notes
This Practice Note explains:•what powers the court has to enforce undertakings•when it is likely to exercise those powersBreach of an undertaking is...
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25th Sep
Practice notes
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...
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25th Sep
Practice notes
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...
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25th Sep
Practice notes
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...
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25th Sep
Practice notes
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...
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2nd Sep

Most recent Q&As content

Q&As
Current legal positionAt present, the result of the UK referendum on 23 June 2016 has had no effect on UK law or on the legal relationship between the...
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Produced in partnership with Jorren Knibbe of Guildhall Chambers 28th Sep
Q&As
Territorial jurisdictionThe jurisdiction of the criminal law is a matter which is often found to present difficult questions for the courts in...
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Produced in partnership with Philip Rule 28th Sep
Q&As
Commercial organisations which have identified involvement in corruption, whether directly or by an associated person, should seek expert advice...
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28th Sep
Q&As
The simple answer is yes.Whether you can enter into a retrospective conditional fee agreement (CFA) is not a matter of statute but one of common law...
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28th Sep
Q&As
Legal expenses policies are governed by The Insurance Companies (Legal Expenses Insurance) Regulations 1990. These regulations address the freedom to...
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28th Sep
Q&As
Whether you need to do anything will depend on the date you entered into the conditional fee agreement (CFA).CFAs entered into from 1 April 2013...
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28th Sep
Q&As
In short, we are not aware of any rule preventing a firm of solicitors insisting that all correspondence be provided by post. However, whether it...
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Produced in partnership with Peter Steel of Augury Consulting 28th Sep
Q&As
The general position is that CFAs entered into prior to 1 April 2013 are covered by transitional arrangements, as set out in CPR 48.1. These provide...
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28th Sep
Q&As
What does the SRA say?The first question to consider whether solicitors or law firms are under any obligation is to ensure clients have freedom of...
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28th Sep
Q&As
The Equality Act 2010 (Gender Pay Gap Information) Regulations 2017, SI 2017/172 ('the regulations') come into force on 6 April 2017. Acas and the...
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28th Sep
Q&As
A breach of personal data can arise in two ways: (1) a breach of a free standing right of privacy (which used to be known as misuse of confidential...
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Produced in partnership with Ashley Roughton of Ipchambers.eu 28th Sep
Q&As
What is Privacy shield?On 29 February 2016, the European Commission announced draft details of the EU–US Privacy Shield to replace the Safe Harbour...
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28th Sep
Q&As
Only lawyers qualified in an EU Member State are able to practise EU law or argue before EU tribunals such as the Court of Justice of the European...
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28th Sep
Q&As
Practice Notes: Information management and security—regulatory requirements—law firms and Information security—data protection compliance set out your...
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28th Sep
Q&As
The SRA Glossary defines an undertaking as:•a statement, given orally or in writing, whether or not it includes the word ‘undertake’ or...
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28th Sep
Q&As
Closing a client matter properly is a basic client care, risk management and housekeeping requirement. There are also regulatory and best practice...
Read More >
28th Sep

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