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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 Third parties content

Precedents

Introduction agreement for services—pro-supplier

Introduction agreement for services—pro-supplierThis Agreement is made on [date]Parties1[insert name of company] [of OR a company incorporated in...
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8th Jul
tag iconIn-house
Practice notes

Dealing with freelance solicitors

Dealing with freelance solicitorsThe SRA Standards and Regulations 2019, in force from 25 November 2019, introduce a new method of practising: the...
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5th Jul
Practice notes

Instructing third parties 2019

Instructing third parties 2019This Practice Note reflects requirements in the SRA Codes of Conduct 2019 in relation to instructing third parties, in...
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24th Jun
Practice notes

Introductions to third parties 2019

Introductions to third parties 2019This Practice Note reflects requirements in the SRA Codes of Conduct 2019 in relation to Introductions to third...
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24th Jun
Practice notes

Introductions to third parties—general regulatory requirements 2011 [Archived]

Introductions to third parties—general regulatory requirements 2011 [Archived]This Practice Note explains generic regulatory requirements that apply...
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24th Jun
Practice notes

Instructing third parties—regulatory requirements 2011 [Archived]

Instructing third parties—regulatory requirements 2011 [Archived]This Practice Note explains the regulatory requirements that apply when you instruct...
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24th Jun
Practice notes

Evaluating and monitoring third parties

Evaluating and monitoring third partiesThis Practice Note provides guidance on suggested procedures for evaluating and monitoring third parties such...
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24th 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...
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Produced in partnership with David Smith of Anthony Gold Solicitors 15th Jun
Practice notes

Your client and the court—regulatory requirements

Your client and the court—regulatory requirementsThis Practice Note explains the regulatory requirements imposed by the SRA in relation to litigation...
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8th Jun
Q&As

Can I accept a costs undertaking from an in-house solicitor?

Can I accept a costs undertaking from an in-house solicitor?The SRA Glossary defines an undertaking as:•a statement, given orally or in writing,...
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5th Jun
Q&As

Can legal executives give undertakings and what should I say about this in my undertakings policy?

Can legal executives give undertakings and what should I say about this in my undertakings policy?From the Solicitors Regulation Authority’s (SRA)...
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5th Jun
Q&As

What should I do if the other side fails to discharge the firm from a completed undertaking?

What should I do if the other side fails to discharge the firm from a completed undertaking?An undertaking is a commitment by a solicitor to do...
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5th Jun
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?

We are representing clients in the sale of business assets. The purchaser representatives have legal knowledge, but do not appear to be solicitors (or...
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5th Jun
Q&As

Can my client (in a litigated matter) make a payment to a non-expert witness that is contingent on the outcome? If I know my client has done or plans to do this, do I have to tell the court and/or the SRA or take any other action?

Can my client (in a litigated matter) make a payment to a non-expert witness that is contingent on the outcome? If I know my client has done or plans...
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5th Jun
Q&As

Can I rely on an undertaking from a legal executive employed in a non-SRA regulated entity?

Can I rely on an undertaking from a legal executive employed in a non-SRA regulated entity?There is no specific reference in the Chartered Institute...
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5th Jun
Q&As

Aside from the rules relating to service of proceedings, is there any guidance or rule concerning the manner in which solicitors involved in litigation should correspond? In particular, can a firm of solicitors refuse to accept general correspondence by email and insist on all correspondence being provided by post?

Aside from the rules relating to service of proceedings, is there any guidance or rule concerning the manner in which solicitors involved in...
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Produced in partnership with Peter Steel of Augury Consulting 5th Jun
Q&As

What is a legal entity identifier (LEI) and does my law firm need one?

What is a legal entity identifier (LEI) and does my law firm need one?What is a legal entity identifier?A legal entity identifier (LEI) is...
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5th Jun
Q&As

Is an undertaking binding and enforceable if given by a legally unqualified individual on behalf of their law firm?

Is an undertaking binding and enforceable if given by a legally unqualified individual on behalf of their law firm?The SRA Code of Conduct for Firms...
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5th Jun
Q&As

What are the ramifications for a solicitor who does not comply with Law Society Formula B undertakings and/or did not hold their client's part of the contract at the point of exchange? If the contract later comes into dispute does an action lie with that solicitor or their firm?

What are the ramifications for a solicitor who does not comply with Law Society Formula B undertakings and/or did not hold their client's part of the...
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5th Jun
Q&As

If a solicitor’s undertaking is given but it does not have a date by which it expires, can it be withdrawn? If so, are there any requirements regarding when and how it can be withdrawn?

If a solicitor’s undertaking is given but it does not have a date by which it expires, can it be withdrawn? If so, are there any requirements...
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5th Jun

Popular documents

Subrogation in insurance and reinsurance

Subrogation in insurance and reinsurance

Subrogation in insurance and reinsuranceWhat is the right of subrogation?In the context of insurance and reinsurance, the right of subrogation entitles an insurer or reinsurer, having indemnified the (re)insured, to ‘step into its shoes’ to bring an action in the (re)insured’s name. For the purpose

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

PRA Rulebook—introduction for the insurance and reinsurance sector

PRA Rulebook—introduction for the insurance and reinsurance sector

PRA Rulebook—introduction for the insurance and reinsurance sectorOn 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

Sentencing fraud offences committed by individuals

Sentencing fraud offences committed by individuals

Sentencing fraud offences committed by individualsThe Sentencing Council (SC) has produced sentencing guidelines for fraud offences under the Fraud Act 2006 (fraud by false representation, fraud by failing to disclose information and fraud by abuse of position), false accounting under section 17 of