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Latest Practice Compliance News

Practice Compliance weekly highlights—20 January 2022

Practice Compliance weekly highlights—20 January 2022

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—20 January 2022

Questions of compensation for ‘non-material' EU GDPR damage land at Court of Justice

Questions of compensation for ‘non-material' EU GDPR damage land at Court of Justice

The following EU Law news provides comprehensive and up to date legal information on Questions of compensation for ‘non-material' EU GDPR damage land at Court of Justice

Council for Licensed Conveyancers considers mandating cyber insurance

Council for Licensed Conveyancers considers mandating cyber insurance

The following Insurance & Reinsurance news provides comprehensive and up to date legal information on Council for Licensed Conveyancers considers mandating cyber insurance

UK GDPR—proposed reform concerning AI likely to be watered down, official says

UK GDPR—proposed reform concerning AI likely to be watered down, official says

The following Commercial news provides comprehensive and up to date legal information on UK GDPR—proposed reform concerning AI likely to be watered down, official says

Featured Practice Compliance content

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...

Property and mortgage fraud—warning signs and good practice for staff

Property and mortgage fraud—warning signs and good practice for staff

Property and mortgage fraud—warning signs and good practice for staffYou do not have to behave like a police officer but you do have to remain alert...

Compliance officer for finance and administration—COFA—title and duties 2011 [Archived]

Compliance officer for finance and administration—COFA—title and duties 2011 [Archived]

Compliance officer for finance and administration—COFA—title and duties 2011 [Archived]This Practice Note explains the duties and qualifying...

Undertakings and the SRA 2019

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...

Practice notes

Protection for whistleblowers—law firms

Protection for whistleblowers—law firmsThis Practice Note summarises the law and practice in relation to whistleblowing as governed by the Employment...
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16th Nov
Practice notes

Understanding the financial sanctions regime—a guide for law firms [Archived]

Understanding the financial sanctions regime—a guide for law firms [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This...
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16th Nov
Practice notes

Final client bill

Final client billThis Practice Note deals with regulatory requirements and practical issues regarding the form and content of a final bill of costs to...
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16th Nov
Practice notes

Insurance distribution activities—law firms

Insurance distribution activities—law firmsAs a general rule, law firms are not permitted to engage directly in insurance distribution activities,...
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16th Nov
Precedents

Anti bribery and corruption Officer—ABC Officer—job description and role profile

Anti bribery and corruption Officer—ABC Officer—job description and role profileAnti-bribery and corruption Officer (ABC Officer) detailsName of...
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16th Nov
Practice notes

Residual balances 2019—law firms

Residual balances 2019—law firmsThis Practice Note sets out the requirements of the SRA Accounts Rules 2019, in force from 25 November 2019, regarding...
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16th Nov
Practice notes

Acting for yourself, friends and family

Acting for yourself, friends and familyThis Practice Note covers considerations where the firm wishes to act for one of its own partners or employees,...
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16th Nov
Practice notes

Referral and fee sharing arrangements 2019

Referral and fee sharing arrangements 2019This Practice Note reflects requirements in the SRA Codes of Conduct 2019 (2019 Codes) in relation to...
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16th Nov
Practice notes

Bogus law firms

Bogus law firmsWhat is a bogus law firm?The term 'bogus law firm' is used to describe a situation where a firm or individual that is not regulated by...
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16th Nov
Precedents

Undertakings policy for property transactions

Undertakings policy for property transactions1Policy statement1.1It is the policy of [firm name] (‘the firm’) to conduct its business in compliance...
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16th Nov
Practice notes

Pre-employment checks—law firms

Pre-employment checks—law firmsWhile the application form and interview process will give you some assurances as to a candidate's suitability for a...
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16th Nov
Practice notes

SRA approval of managers 2011 [Archived]

SRA approval of managers 2011 [Archived]A firm's managers must be approved by the SRA. Solicitors and firms who are themselves authorised by the SRA...
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16th Nov
Q&As

Should attendance notes be filed for all client meetings even when a narrative is provided in our time recording system?

Should attendance notes be filed for all client meetings even when a narrative is provided in our time recording system?There are no specific SRA...
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16th Nov
Precedents

Anti-bribery and corruption—due diligence questionnaire for agent/intermediary

Anti-bribery and corruption—due diligence questionnaire for agent/intermediaryTo be completed by the agent/intermediary.Please complete, sign and...
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16th Nov
Q&As

What CDD challenges are presented by coronavirus (COVID-19)?

What CDD challenges are presented by coronavirus (COVID-19)?STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20...
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16th Nov
tag iconCOVID-19
Precedents

Anti-bribery and corruption—hospitality decision tree

Anti-bribery and corruption—hospitality decision treeThis hospitality decision tree can help you decide whether or not to offer corporate hospitality....
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16th Nov

Popular documents

Scotland: the Accountant in Bankruptcy

Scotland: the Accountant in Bankruptcy

Scotland: the Accountant in BankruptcyThe office of the Accountant in Bankruptcy (AiB) was created by section 156 of the Bankruptcy (Scotland) Act 1856 . Previously, the functions of the AiB were limited but since 1993, with the enactment of the Bankruptcy (Scotland) Act 1993 (B(S)A 1993), the role

Common financial covenants

Common financial covenants

Common financial covenantsThis Practice Note explains certain common financial covenants used in commercial finance transactions including:•minimum net worth test•gearing ratio•leverage ratio (or debt to equity ratio)•current ratio (or acid test ratio)•cashflow ratio•interest cover ratio, and•loan

Amending the articles of association

Amending the articles of association

Amending the articles of associationThis Practice Note summarises the procedure to amend or change a company’s articles of association in accordance with the Companies Act 2006 (CA 2006).Why amend the articles?There are many different reasons why a company may want, or be required, to amend its

Lease transactions toolkit (environmental issues)—Commercial Property Standard Enquiries and additional

Lease transactions toolkit (environmental issues)—Commercial Property Standard Enquiries and additional

Commercial Property Standard EnquiriesThe Commercial Property Standard Enquiries (CPSE) have become the industry standard pre-contract enquiries for commercial property transactions:•CPSE.1 (version 3.8) General pre-contract enquiries for all commercial property transactions•CPSE.2 (version 3.4)