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Latest Practice Compliance News

Financial and trade sanctions—tracking UK-EU divergence

Financial and trade sanctions—tracking UK-EU divergence

The following Banking & Finance news provides comprehensive and up to date legal information on Financial and trade sanctions—tracking UK-EU divergence

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

Work on UK standard contractual clauses under way, ICO official says

Work on UK standard contractual clauses under way, ICO official says

The following Commercial news provides comprehensive and up to date legal information on Work on UK standard contractual clauses under way, ICO official says

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...
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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...
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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...
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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...
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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...
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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...
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Produced in partnership with Richard Furlong of Carmelite Chambers 12th Jan

Most recent Supervision & file reviews content

Practice notes

Supervision—SRA 2011 regime and SRA 2019 regime compared

This Practice Note contrasts the requirements in the SRA’s 2011 and 2019 regimes as well as wider requirements in relation to supervision. There is a...
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5th May
Practice notes

Building a file audit or file review process

This Practice Note explains how to develop and embed a successful file audit/file review process in your firm. See Practice Note: File audits or file...
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5th May
Practice notes

Supervision 2019—law firms

The SRA's core regulatory requirements in relation to supervision are found in the two Codes of Conduct (the SRA Code for Solicitors 2019 and the SRA...
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5th May
Practice notes

File audits or file reviews—the basics

There is no specific regulatory requirement to have a file audit/review process. If you want to achieve Lexcel accreditation then there is a...
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5th May
Practice notes

Supervision—regulatory requirements 2011 [Archived]

Supervision means the management of people and their work, and includes supervising fee earners and non-fee earning staff.Proper supervision is a...
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5th May
Precedents

File audit and file review register

Click for an Excel version of the file audit/review register.

Please note t

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14th Feb
Precedents

Supervision policy 2011 [Archived]

1Supervision structure1.1Supervision is achieved through our management structure and reporting lines. These are shown in our structure chart:...
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14th Feb
Precedents

Supervision policy—law firms—2019

1IntroductionThis document sets out our supervision arrangements, including:1.1our supervision structure;1.2arrangements for supervising client...
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4th Feb
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?

There is nothing essentially wrong with law firms employing non-lawyers or with law firms engaging with lawyers or non-lawyers to drive clients. The...
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Produced in partnership with Dr David Smith of JMW Solicitors LLP 8th Jan
Q&As

What are the SRA’s requirements for supervising remote workers?

This Q&A considers the requirements for solicitors and law firms regulated by the Solicitors Regulation Authority (SRA) when supervising remote...
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7th Dec
Q&As

Should partners read all email correspondence?

Proper supervision is a regulatory obligation. Supervision means the management of people and their work. You must comply with the SRA’s rules on...
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7th Dec
Q&As

Are there any rules or guidance about the handling of cheques that come in the post?

The overarching objective of the SRA Accounts Rules 2019 is to keep client money safe.Client money must be:•paid into a client account promptly•held...
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7th Dec
Q&As

Do we have to have a partner in supervision at every office?

This Q&A reflects requirements in the SRA 2019 regime, effective from 25 November 2019. See Practice Note: Supervision—SRA 2011 regime and SRA 2019...
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7th Dec
Q&As

Are file reviews important?

File reviews show that an organisation takes quality and compliance seriously.File reviews and audits provide meaningful statistics, and if things...
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7th Dec
Precedents

Remote supervision guidelines for supervisors—law firms

This document provides guidance to [partners OR members OR directors][, managers] and any other member of staff involved in supervising staff working...
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7th Dec
Precedents

Email to all staff following annual or quarterly review of file audit and file review data

Dear AllWe have completed our [annual OR quarterly OR file audit OR review] period.Our [audit OR review] shows that we have made significant...
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7th Dec
Precedents

Risk data—annual review

1General informationReview period[Insert review period]Date of review[Insert date]Person(s) conducting review[Insert name(s)]2ComplaintsNumber of...
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7th Dec
Precedents

Supervision—annual review

1General informationDate of review[Insert date]Person(s) conducting review[Insert name(s)]2Review and findingsIs your Supervision structure chart up...
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7th Dec
Precedents

Quarterly file audit or review monitoring record

1General informationDate of monitoring review[Insert date]Person conducting monitoring review[Insert name]2Consolidated dataCriteriaIn the last...
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7th Dec
Precedents

File audit/review form

1Preliminary dataReason for audit/review(Tick all that apply)☐ Complaint☐ Routine file audit/review☐ Fee earner request☐ AML☐ Other...
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7th Dec

Popular documents

Title guarantee and covenants for title

Title guarantee and covenants for title

On the disposition of a property (whether by way of conveyance, transfer or charge), the party making the disposition will normally provide a title guarantee which implies standard form covenants for title. A landlord may give a title guarantee when granting a lease, but this is rare in practice.

Negligence—when is the duty of care breached?

Negligence—when is the duty of care breached?

Having established that a duty of care exists (see Practice Note: Negligence—when does a duty of care arise?), it is then necessary to consider whether or not there has been a breach of that duty. This will depend on a number of factors outlined below and considered against the general background of

Involuntary manslaughter

Involuntary manslaughter

Involuntary manslaughter—introductionManslaughter can be classified as either voluntary or involuntary. Voluntary manslaughter consists of those killings which would be murder (because the accused has the relevant mental element—hence the label voluntary manslaughter) but which are reduced to

Qualified one-way costs shifting (QOCS)

Qualified one-way costs shifting (QOCS)

What is QOCS?Qualified one-way costs shifting (QOCS) was introduced on 1 April 2013 as part of the Jackson costs reforms following the removal of a claimant’s right to recover additional liabilities from the defendant, ie success fees and after the event (ATE) insurance premiums. The relevant CPR