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Latest Practice Compliance News

The Supreme Court revisits the restraint of trade doctrine and examines solicitors’ undertaking in Harcus Sinclair v Your Lawyers

The Supreme Court revisits the restraint of trade doctrine and examines solicitors’ undertaking in Harcus Sinclair v Your Lawyers

The following Commercial news provides comprehensive and up to date legal information on The Supreme Court revisits the restraint of trade doctrine and examines solicitors’ undertaking in Harcus Sinclair v Your Lawyers

A review of the position six months on from the Supreme Court’s decision in the FCA Business Interruption Insurance Test Case (FCA v Arch)

A review of the position six months on from the Supreme Court’s decision in the FCA Business Interruption Insurance Test Case (FCA v Arch)

The following Commercial news provides comprehensive and up to date legal information on A review of the position six months on from the Supreme Court’s decision in the FCA Business Interruption Insurance Test Case (FCA v Arch)

Practice Compliance weekly highlights—22 July 2021

Practice Compliance weekly highlights—22 July 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—22 July 2021

The emerging role of judicial approval and the absence of findings of fact in DPAs (SFO v Amec Foster Wheeler Energy Ltd)

The emerging role of judicial approval and the absence of findings of fact in DPAs (SFO v Amec Foster Wheeler Energy Ltd)

The following Corporate Crime news provides comprehensive and up to date legal information on The emerging role of judicial approval and the absence of findings of fact in DPAs (SFO v Amec Foster Wheeler Energy Ltd)

Featured Practice Compliance content

What is a solicitor's undertaking?

What is a solicitor's undertaking?

What is a solicitor's undertaking?An undertaking is a commitment by a solicitor to do something. It can be enforced against the solicitor by the...

SRA Code of Conduct for individuals and firms

SRA Code of Conduct for individuals and firms

SRA Code of Conduct for individuals and firmsThis Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and...

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...

Legal Services Board

Legal Services Board

Legal Services BoardThe Legal Services Board (LSB) is the single independent oversight regulator of the legal profession and sector in England and...

Practice notes

AML and counter-terrorist financing—source of funds and source of wealth

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
tag iconIn-house
Practice notes

The Information Commissioner’s Office (ICO)

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]

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]

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
tag iconBrexit
Practice notes

SRA Accounts Rules 2019

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

Modern slavery: contract clauses

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
tag iconIn-house
Practice notes

High-risk third countries tracker

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
tag iconIn-house
Practice notes

Active bribery, passive bribery and bribing foreign public officials

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

Standard contractual clauses for international transfers—set II—controller to controller—ICO templates

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 law

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
tag iconBrexit
Practice notes

Safeguards and information barriers

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 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...
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19th May
Practice notes

Duties of confidentiality and disclosure 2019

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
Practice notes

SRA Handbook 2011 [Archived]

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
Precedents

Financial sanctions policy

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

Working with European lawyers—the Registered European Lawyer (REL) regime

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
tag iconBrexit

Most recent Q&As content

Q&As

Who is a 'data subject' for the purposes of the Data Protection Act 1998?

Who is a 'data subject' for the purposes of the Data Protection Act 1998?In the context of data protection, the term 'data subject' is used...
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25th Jul
Q&As

Despite not being in effect until 25 May 2018, can you address the GDPR in contractual agreements now?

Despite not being in effect until 25 May 2018, can you address the GDPR in contractual agreements now?ImplementationThe General Data Protection...
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25th Jul
Q&As

Who is a 'data controller' for the purposes of the Data Protection Act 1998?

Who is a 'data controller' for the purposes of the Data Protection Act 1998?For the purposes of the Data Protection Act 1998 (DPA 1998), a 'data...
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25th Jul
Q&As

What is sensitive personal data for the purposes of the Data Protection Act 1998?

What is sensitive personal data for the purposes of the Data Protection Act 1998?Personal dataUnder section 1 of the Data Protection Act 1998 (DPA...
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25th Jul
Q&As

If a business keeps a ‘black book’ of contacts, but keeps it private and does not keep an electronic version, does the Data Protection Act apply to its contents? Can the business send emails to those contacts without the opt out of receiving more emails that usually accompanies marketing shots?

If a business keeps a ‘black book’ of contacts, but keeps it private and does not keep an electronic version, does the Data Protection Act apply to...
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25th Jul
Q&As

Does every digital platform that is ‘significantly different from its neighbour’ need a separate accessibility statement?

Does every digital platform that is ‘significantly different from its neighbour’ need a separate accessibility statement?All websites/digital...
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25th Jul
Q&As

What is a relevant filing system for the purposes of the Data Protection Act 1998?

What is a relevant filing system for the purposes of the Data Protection Act 1998?Under the Data Protection Act 1998 (DPA 1998), a relevant filing...
Read More >
Produced in partnership with Ashley Roughton of Ipchambers.eu 25th Jul
Q&As

Do I have to make a suspicious activity report where I have stopped acting or declined to act for a client due to the presence of an AML risk factor?

Do I have to make a suspicious activity report where I have stopped acting or declined to act for a client due to the presence of an AML risk...
Read More >
13th Jul
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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13th Jul
tag iconCOVID-19
Q&As

Is it possible to ask clients at the outset of a matter whether they are happy for any small, residual balance (say up to £10) to be donated to charity?

Is it possible to ask clients at the outset of a matter whether they are happy for any small, residual balance (say up to £10) to be donated to...
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Produced in partnership with Sarah Charlton of ILFM 6th Jul
Q&As

Is there a specific form to apply for someone to become the firm's nominated officer?

Is there a specific form to apply for someone to become the firm's nominated officer?This Q&A reflects draft Legal Sector Affinity Group (LSAG) AML...
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30th Jun
Q&As

Do I have to make a suspicious activity report where I have been unable to apply CDD measures?

Do I have to make a suspicious activity report where I have been unable to apply CDD measures?This Q&A reflects draft Legal Sector Affinity Group...
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29th Jun
Q&As

Can I still practice EU law if the UK is no longer in the EU?

Can I still practice EU law if the UK is no longer in the EU?Only lawyers qualified in an EU Member State are able to practise EU law or argue before...
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28th Jun
tag iconBrexit
Q&As

What is the definition of a 'transaction' in the Money Laundering Regulations 2017, SI 2017/692, specifically in relation to the obligation to carry out enhanced due diligence where any party is established in a high risk country?

What is the definition of a 'transaction' in the Money Laundering Regulations 2017, SI 2017/692, specifically in relation to the obligation to carry...
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23rd Jun
Q&As

What are the consequences for pension scheme trustees if pensions are paid to members on the ‘Consolidated List of Financial Sanctions Targets’ issued by the Office of Financial Sanctions Implementation? What obligations do pensions trustees have to carry out due diligence to safeguard against pensions being paid to such individuals?

What are the consequences for pension scheme trustees if pensions are paid to members on the ‘Consolidated List of Financial Sanctions Targets’ issued...
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22nd Jun
Q&As

What is the legal basis for HM Treasury Office of Financial Sanctions Implementation (OFSI) annual frozen assets review, and are OFSI requests for information mandatory or voluntary?

What is the legal basis for HM Treasury Office of Financial Sanctions Implementation (OFSI) annual frozen assets review, and are OFSI requests for...
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16th Jun
Q&As

We are considering working with a non-lawyer, on a self-employed/part time consultancy basis to help promote the firm, eg to chair conferences and present to our client base. What are the regulatory issues we need to consider?

We are considering working with a non-lawyer, on a self-employed/part time consultancy basis to help promote the firm, eg to chair conferences and...
Read More >
Produced in partnership with David Smith of Anthony Gold Solicitors 15th Jun
Q&As

Where can I find the sanctions lists?

Where can I find the sanctions lists?The Office of Financial Sanctions Implementation (OFSI) maintains two lists of those subject to financial...
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9th Jun
Q&As

For a firm which is a limited liability partnership to be able to sue on a bill, should the partner signing the bill sign the name of the firm, ie sign ‘ABC LLP’ or sign their own name, ie ‘John Smith’?

For a firm which is a limited liability partnership to be able to sue on a bill, should the partner signing the bill sign the name of the firm, ie...
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Produced in partnership with Sarah Charlton of ILFM 7th Jun
Q&As

Can we rely on the new Privacy Shield?

Can we rely on the new Privacy Shield?What is Privacy shield?On 29 February 2016, the European Commission announced draft details of the EU–US Privacy...
Read More >
6th Jun

Popular documents

The commercialisation of sport

The commercialisation of sport

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s withdrawal from the EU. At this point in time (referred to in UK law as ‘IP completion day’), key transitional arrangements come to an end and significant

ECHR, art 5(4)—rights and duties

ECHR, art 5(4)—rights and duties

ECHR, art 5(4)—rights and dutiesThe scope of article 5(4) Article 5(4) of the European Convention of Human Rights (ECHR) provides that: 'Everyone who is deprived of his liberty by arrest or detention shall be entitled to take proceedings by which the lawfulness of his detention shall be decided

Arbitration agreements—definition, purpose and interpretation

Arbitration agreements—definition, purpose and interpretation

Arbitration agreements—definition, purpose and interpretationThis Practice Note considers the nature and scope of arbitration agreements with a particular focus on arbitration agreements pursuant to the law of England and Wales, although it also discusses the concept from an international

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)