Business continuity plan

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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
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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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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
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The way the Solicitors Regulation Authority (SRA) regulates the solicitors’ profession has been evolving since its inception—from a prescriptive...
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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
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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 Business continuity plan content

Practice notes
Storms and flooding can cause major problems for businesses in the UK.The issue extends beyond businesses whose premises have been flooded or damaged...
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25th Sep
Practice notes
This Practice Note Business continuity plan (BCP) lifecycle is designed to help you navigate our BCP Precedents. This lifecycle is appended to...
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25th Sep
Precedents
1General informationDate of review[Insert date]Person(s) conducting review[Insert name]2Review and findingsHave you performed a fresh risk evaluation...
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26th Sep
Precedents
NameCallsContact number[CEO OR Senior Partner OR [Head of [Compliance OR Legal OR ][Insert number][Head of Compliance OR Legal]]CEO OR Senior...
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26th Sep
Precedents
Why are we undertaking this survey?[Insert name of firm/organisation] plans for unexpected emergencies with a comprehensive business continuity...
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26th Sep
Precedents
1Priority list of functionsThe key elements of the business that are needed to [deliver our services to clients/customers AND/OR trade effectively]...
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26th Sep
Precedents
This presentation has been designed as an aid to train your staff on your Business continuity plan (BCP) arrangements.The training materials are...
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26th Sep
Precedents
Please note that the information contained in these tables is confidential.BCP management team contactsNameLandline numberMobile numberEmail...
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26th Sep
Precedents
1IntroductionIt is our policy to ensure that if our business is interrupted, we can become fully operational as quickly as possible. In doing so, we...
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26th Sep
Precedents
Please click for an Excel version of this register.You should test the BCP to ensure it is effective.This is best done by testing parts of the plan...
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26th Sep
Precedents
RiskImpact(low/medium/high)Likelihood(low/medium/high)Measures already taken to reduce, avoid or transfer the riskFloodingHighLowThere is minimal risk...
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26th Sep
Practice notes
This Practice Note explains what a business continuity plan (BCP) is and the regulatory requirements in relation to BCPs, and provides guidance on...
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27th Sep
Q&As
The BCP is an important part of the overall risk management framework for any firm. It helps ensure the business is able to survive a critical event...
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28th Sep

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