menu-search
LEXISNEXIS_ICON4_SIGNINSign-in LEXISNEXIS_ICONS_SUPPORTHelp

Q&As

View Practice Compliance by content type:

News
Practice notes
Precedents
Q&As

Latest Practice Compliance News

Question of the week: what is the difference between a ‘commonly used electronic format’ and a ‘structured, commonly used, machine readable and interoperable’ format when responding to data subject rights?

Question of the week: what is the difference between a ‘commonly used electronic format’ and a ‘structured, commonly used, machine readable and interoperable’ format when responding to data subject rights?

Question of the week: what is the difference between a ‘commonly used electronic format’ and a ‘structured, commonly used, machine readable and interoperable’ format when responding to data subject rights?

60 UK law firms shut in 2020 by rising insurance costs

60 UK law firms shut in 2020 by rising insurance costs

The following Insurance & Reinsurance news provides comprehensive and up to date legal information on 60 UK law firms shut in 2020 by rising insurance costs

Practice Compliance weekly highlights—6 May 2021

Practice Compliance weekly highlights—6 May 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—6 May 2021

UK joins US in implementing a global anti-corruption sanctions regime

UK joins US in implementing a global anti-corruption sanctions regime

The following Banking & Finance news provides comprehensive and up to date legal information on UK joins US in implementing a global anti-corruption sanctions regime

Featured Practice Compliance content

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 firm's regulatory arrangements. This does not mean that the firm and its...

Anti-bribery and corruption for law firms—post-training assessment questions

Anti-bribery and corruption for law firms—post-training assessment questions

How to use this testThese questions are designed to test your understanding after your attendance at our training on avoiding bribery and...

Standard contractual clauses—set II—controller to controller (Model Clauses)

Standard contractual clauses—set II—controller to controller (Model Clauses)

DRAFTING FOR BREXIT: For the latest information on the impact of Brexit on the drafting, negotiation and enforceability of this Precedent, see...

Introduction to retained EU law

Introduction to retained EU law

This Practice Note provides an introduction to retained EU law, which is an entirely new legal concept introduced to UK domestic law in preparation...

Practice notes

AML and counter-terrorist financing—source of funds

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...
Read More >
9th Nov
tag iconIn-house
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...
Read More >
9th Nov
tag iconIn-house
Practice notes

High-risk third countries tracker

This Practice Note lists high-risk third countries identified by the Financial Action Task Force (FATF), HM Treasury and the European Commission as...
Read More >
9th Nov
tag iconIn-house
Practice notes

Active bribery, passive bribery and bribing foreign public officials

The purpose of this Practice Note is to provide a general understanding of the offences under section 1, 2 and 6 of the Bribery Act 2010 (BA 2010). It...
Read More >
Produced in partnership with Joanne Kane of Carmelite Chambers 12th Jan
Practice notes

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 courts. Failure to comply with an...
Read More >
9th Nov
Practice notes

Facilitation payments under the Bribery Act 2010

Facilitating the performance of a duty by public officialsFacilitation payments, also known as facilitating or grease payments, are generally small...
Read More >
Produced in partnership with Richard Furlong of Carmelite Chambers 12th Jan

Most recent Q&As content

Q&As

Can a discounted CFA be used where a client has legal expense insurance (LEI) so that the usual charge out rate applies if successful, but the LEI rate applies if not?

What is a DCFA?Most lawyers will be familiar with a ‘pure’ CFA, often referred to as a ‘no win, no fee’ agreement. When acting under a pure CFA, a...
Read More >
Produced in partnership with Alex Bagnall of Total Legal Solutions 15th Feb
Q&As

Do I have to disclose confidential client information to Legal Ombudsman (LeO) if my client makes a complaint about his barrister where the client also made a complaint against the firm but we resolved it without the involvement of LeO?

Legal OmbudsmanThere are no specific provisions within LeO’s Scheme Rules that require a third party to disclose information relating to an ongoing...
Read More >
15th Feb
Q&As

Would a law firm providing advice to a client in relation to an insurance policy (where an insurance broker has been retained by the client) constitute an insurance distribution activity?

See Practice Note: Insurance distribution activities—law firms. This confirms that the underlying Directive (EU) 2016/97, Insurance Distribution...
Read More >
15th Feb
Q&As

We are representing clients in the sale of business assets. The purchaser representatives have legal knowledge, but do not appear to be solicitors (or similar). What are the compliance implications, other than the restriction on unqualified persons conducting reserved legal activities?

Dealing with non-solicitors on the other side of a transaction can present numerous compliance issues, eg:•compliance with the Code of Conduct and...
Read More >
15th Feb
Q&As

Can I charge a contingency-based uplift on a high-value transaction, eg an uplift on the hourly rate or a percentage of value of transaction if the transaction completes?

Section 56(4) of the Solicitors Act 1974 (SA 1974) stipulates that in respect of non-contentious business, solicitors should be remunerated:•by a...
Read More >
Produced in partnership with Gilles Ward of DG Legal 15th Feb
Q&As

Are success fees and insurance premiums still recoverable in publication and privacy proceedings?

The implementation of the Jackson Reforms in 2013 introduced significant changes to litigation funding and management. The Legal Aid, Sentencing and...
Read More >
15th Feb
Q&As

What is the role of the FCA compliance officer?

The Financial Conduct Authority (FCA) is the single statutory regulator of the financial services industry in the UK, it is operationally independent...
Read More >
15th Feb
Q&As

Do we need FCA authorisation to provide independent legal advice to a client in relation only to a consumer credit, litigation funding agreement between that client and another law firm?

FCA regimeIt would seem that the first issue to consider is whether advising on a credit agreement between the client and a third party is a regulated...
Read More >
15th Feb
Q&As

Does the prohibition on unsolicited telephone calls advertising claims management services (Privacy and Electronic Communications (EC) Directive Regulations 2003, SI 2003/2426) apply to law firms?

This prohibition on unsolicited telephone calls advertising claims management services derives from the Privacy and Electronic Communications (EC)...
Read More >
15th Feb
Q&As

What constitutes ‘a personalised explanation’ (of why a particular insurance contract best meets the client’s demands and needs) and can law firms give this explanation in writing only.

This obligation derives from the SRA COB Rules, r 12.4: ‘where you have given a personal recommendation to the client, you must, in addition to the...
Read More >
15th Feb
Q&As

Do we have to conduct client due diligence on all shareholders of corporate clients?

Client due diligence (CDD) entails:•identifying the client•verifying that identity, and•assessing, and where appropriate obtaining information on, the...
Read More >
15th Feb
Q&As

What are the consequences, in an off-premises contract after 13 June 2014, of notifying the client that the cancellation period under the contract is seven days (instead of 14)?

The Consumer Contracts (Information, Cancellation and Additional Charges) Regulations 2013 (CCR 2013), SI 2013/3134 came into force on 13 June 2014....
Read More >
Produced in partnership with Peter Steel of Blake Morgan 15th Feb
Q&As

Who owns the matter file?

Matter files typically contain a range of papers, including electronic information which can be held electronically and/or printed in a physical...
Read More >
15th Feb
Q&As

Does the obligation to report a discrepancy about a beneficial owner on the person with significant control register by an obliged entity extend to updating an absent middle name shown in our identification documents?

Regulation 30A, inserted into the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017),...
Read More >
15th Feb
Q&As

When a solicitor instructs counsel to appear at a hearing and advise generally in respect of a matter, should the barrister be considered a processor, a controller or a joint controller (along with the solicitor) of the data?

The General Data Protection Regulation (GDPR) distinguishes between ‘data controllers’ and ‘data processors’.The GDPR definition of a data controller...
Read More >
15th Feb
Q&As

Do I have to provide a privacy notice to an individual instructing us on behalf of a corporate client?

This response is written on the basis of the General Data Protection Regulation (GDPR). The GDPR applies when you process personal data, ie:‘any...
Read More >
15th Feb
Q&As

Is my cybersecurity under threat and how can I protect myself?

How are law firms vulnerable to attack?Cyber-attacks are indiscriminate, affecting both large and small firms. The primary risk is that information...
Read More >
15th Feb
Q&As

Is there any authority or guidance on whether a solicitor from within the same firm can give sufficiently independent advice for the purposes of rebutting the inference of undue influence?

In Royal Bank of Scotland v Etridge, the House of Lords confirmed that in a case where a wife is being asked to stand surety for her husband’s debts,...
Read More >
15th Feb
Q&As

I am acting for a client in two related matters with the same third-party. The third party has a solicitor for one matter but my client wishes me to write directly to the third party on the second matter. Can I do this?

We are not aware of any guidance from either the Law Society or the Solicitors Regulation Authority (SRA) on this particular point, but the SRA...
Read More >
15th Feb
Q&As

Is a restrictive covenant in a solicitor's employment contract incompatible with the client's freedom to choose a solicitor?

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...
Read More >
15th Feb

Popular documents

PRA Rulebook—introduction for the insurance and reinsurance sector

PRA Rulebook—introduction for the insurance and reinsurance sector

On 29 August 2015, the Prudential Regulation Authority (PRA) published the PRA Rulebook (Rulebook). The transition from the Handbook to the Rulebook was intended to benefit PRA-authorised firms, to access clearer and more concise rules. Alongside the Rulebook, supervisory statements and statements

Written basis of plea and Newton hearings

Written basis of plea and Newton hearings

When defendants are guilty, they have a choice to plead guilty or to put the prosecution to proof. When they plead guilty they may benefit from a reduction in their sentence as a result, see Practice Note: Credit for guilty plea. However, the Sentencing Council's overarching guidelines on reduction

What is practical completion?

What is practical completion?

Practical completion marks the end of the construction period of a project, when the works are 'finished' and the employer can occupy and/or use them. Practical completion also typically marks the start of the defects liability period/maintenance period.As explained below, practical completion is an

CE-File—electronic filing and case management in the Rolls Building and other courts

CE-File—electronic filing and case management in the Rolls Building and other courts

This Practice Note looks at CE-File electronic working in the courts under CPR PD 51O, in the context of case management. It provides guidance on how to file a document electronically, deal with rejected electronic filings, issue a claim electronically, file electronic bundles (eBundles) for case