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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...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

Practice notes
Drafting for unforeseen events—commercial contractsThis Practice Note provides practical guidance for general commercial practitioners on points to...
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30th Jul
Precedents
SRA Accounts Rules breach register—COFA—law firmsPlease click for an Excel version of this register.This Precedent SRA Accounts Rules breach register...
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30th Jul
Practice notes
Coronavirus (COVID-19)—managing the workplace from 19 July 2021This Practice Note reflects the position under Step 4 of the roadmap out of lockdown...
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29th Jul
Practice notes
Coronavirus (COVID-19)—testing and vaccination issues for employersSTOP PRESS (22/7/21): Provisions have been made to amend the Health Protection...
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29th Jul
Precedents
Message to staff on the importance of cybersecurity in a pandemic situation (eg coronavirus (COVID-19))The issueUnfortunately, during a pandemic...
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26th Jul
Practice notes
Pandemic management—information and cybersecurity—challenges and practical responsesPandemics are exceptional events which present organisations with...
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26th Jul
Precedents
COVID-19 risk assessment—worked example1. Risk assessment detailsCompany name[Insert name]Type of workplace/premises[Insert, eg Open-plan office...
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26th Jul
Precedents
Pandemic action plan1Pandemic management team and strategyAction pointOwnerStatus and commentsIdentify a person to lead the Pandemic management team...
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26th Jul
Precedents
Pandemic management strategy1Introduction1.1According to the World Health Organisation (WHO), a pandemic is the worldwide spread of a new disease. A...
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26th Jul
Practice notes
Coronavirus (COVID-19)—employment data protection issuesFrom IP completion day (11pm on 31 December 2020), Regulation (EU) 2016/679, General Data...
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23rd Jul
Precedents
Policy—Coronavirus (COVID-19) workplace safetyUPDATE (15/7/21): The Department for Business, Energy and Industrial Strategy (BEIS) published Working...
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23rd Jul
Precedents
Coronavirus (COVID-19) safety—policy schedule—offices and contact centresUPDATE (15/7/21): The Department for Business, Energy and Industrial Strategy...
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23rd Jul
Precedents
Policy—Coronavirus (COVID-19) testing1Introduction1.1This policy sets out the Company’s approach to testing staff for coronavirus (COVID-19). It...
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23rd Jul
Practice notes
Coronavirus (COVID-19)—safe working in an office environment before 19 July 2021 [Archived]ARCHIVED: This Practice Note has been archived and is not...
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Produced in partnership with Melanie O'Brien of DG Legal 23rd Jul
Practice notes
Compliance plan 2019—law firmsThis Practice Note explains whether law firms should have a compliance plan and, if so, what you may wish to include. It...
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23rd Jul
Practice notes
Handling complaints during the coronavirus (COVID-19) epidemic—law firmsThe Legal Ombudsman (LeO) has published guidance for legal service providers,...
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23rd Jul
Practice notes
Collecting customer data for contact tracingThis Practice Note provides practical guidance on collecting customer data in support of the NHS Test and...
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22nd Jul
Practice notes
Avoiding negligence in litigationProfessional negligence claims against solicitors have become more common in recent years. This is due to a...
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Produced in partnership with Jemma Brimblecombe of Kingsley Napley 22nd Jul
Q&As
What risk management measures should I be taking now to help my business prepare for a possible coronavirus (COVID-19) second wave?As the numbers of...
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21st Jul
Precedents
Coronavirus (COVID-19) workplace outbreak management plan—offices1IntroductionThis coronavirus (COVID-19) workplace outbreak management plan records...
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21st Jul

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