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Latest Practice Compliance News

Practice Compliance weekly highlights—8 April 2021

Practice Compliance weekly highlights—8 April 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—8 April 2021

LexisPSL and MLex trial new interactive EU GDPR enforcement tracker

LexisPSL and MLex trial new interactive EU GDPR enforcement tracker

The following Commercial news provides comprehensive and up to date legal information on LexisPSL and MLex trial new interactive EU GDPR enforcement tracker

DPAs may not be receiving sufficient judicial scrutiny

DPAs may not be receiving sufficient judicial scrutiny

The following Corporate Crime news provides comprehensive and up to date legal information on DPAs may not be receiving sufficient judicial scrutiny

Practice Compliance weekly highlights—1 April 2021

Practice Compliance weekly highlights—1 April 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—1 April 2021

Featured Practice Compliance content

Facilitation payments under the Bribery Act 2010

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...

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 courts. Failure to comply with an...

Active bribery, passive bribery and bribing foreign public officials

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...

High-risk third countries tracker

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...

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

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
Practice notes

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...
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9th Nov
tag iconBrexit
Precedents

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...
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9th Nov
Precedents

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...
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9th Nov
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 firm's regulatory arrangements. This does not mean that the firm and its...
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9th Nov

Most recent Third parties content

Precedents

Introduction agreement for services—pro-supplier

This Agreement is made on [date]Parties1[insert name of company] [of OR a company incorporated in [England and Wales] under number [insert registered...
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15th Mar
tag iconIn-house
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?

In property transactions, a sale contract becomes legally binding on exchange of contracts. It is common practice for exchange to take place by...
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12th Mar
Precedents

Fee sharing agreement—law firms

This Agreement is made on [insert date]Parties1[insert name of company] [of OR a company incorporated in [England and Wales] under number [insert...
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25th Feb
Practice notes

Undertakings and the SRA 2019

What is an undertaking?An undertaking is:•a statement, given orally or in writing, whether or not it includes the word ‘undertake’ or ‘undertaking’•to...
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17th Feb
Practice notes

Undertakings and the SRA 2011 [Archived]

What is an undertaking? An undertaking is:•a statement, given orally or in writing (whether or not it includes the word 'undertake' or...
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17th Feb
Q&As

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 imposes an obligation on the firm to comply with all undertakings given by the firm within an agreed timescale—or if...
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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...
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15th Feb
Precedents

Letter to client confirming barrister instructed

We have instructed [insert name of barrister] of [insert name of chambers] to [state what you have instructed the barrister to do].[We expect to...
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14th Feb
Precedents

Referral and fee sharing policy 2019—law firms

1Introduction1.1This policy applies when we receive referrals of potential clients from third parties and/or agree to share our fees with third...
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14th Feb
Precedents

Personal injury client disclosure wording—1 April 2013 onwards

Option 1: Payments made to independent claims management companyYour matter was referred to us by [insert name of introducer], which is a claims...
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14th Feb
Precedents

Instructing third parties policy 2011 [Archived]

1Introduction1.1This policy describes our approach to instructing experts, barristers and other third parties to provide input into a client’s matter....
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14th Feb
Precedents

Litigation, advocacy and ADR policy

1Introduction1.1This document sets out our policy for dealing with litigation and advocacy before any court or tribunal and any form of alternative...
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14th Feb
Precedents

Referral and fee sharing policy—firms with no personal injury arrangements 2011 [Archived]

1Introduction1.1This policy covers arrangements:1.1.1for referrals received by the firm and/or1.1.2to share our fees with third parties1.2These are...
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14th Feb
Precedents

Introductions to third parties policy 2011 [Archived]

1Introduction1.1This policy covers situations where we introduce, refer or recommend our client to a third party. For the sake of consistency, this...
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14th Feb
Precedents

Undertakings policy for property transactions

1Policy statement1.1It is the policy of [firm name] (‘the firm’) to conduct its business in compliance with the highest professional standards. We are...
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14th Feb
Precedents

Referral and fee sharing policy—firms with personal injury arrangements 2011 [Archived]

1Introduction1.1This policy covers arrangements:1.1.1for referrals received by the firm and/or1.1.2to share our fees with third parties1.2These are...
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14th Feb
Precedents

General undertakings policy

1Policy statement1.1It is the policy of [firm name] (‘the firm’) to conduct its business in compliance with the highest professional standards. We are...
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14th Feb
Practice notes

Instructing third parties—regulatory requirements 2011 [Archived]

This Practice Note explains the regulatory requirements that apply when you instruct an expert, barrister or other third party on your client’s...
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15th Jan
Practice notes

Introductions for financial services (including regulated mortgage, general insurance and pure protection contracts) 2011 [Archived]

This Practice Note explains additional regulatory requirements that apply when you introduce a client to a third party for financial services,...
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15th Jan
Practice notes

Personal injury referral arrangements—the statutory regime

This Practice Note explains the statutory regime underpinning the personal injury (PI) referral fee ban—the Legal Aid, Sentencing and Punishment of...
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15th Jan

Popular documents

LEXISNEXIS

Causation and intervening acts in criminal cases

Criminal offences are generally divided into two categories: •conduct crimes, and •result crimesA conduct crime is a crime where only the forbidden conduct needs to be proved. For example, an accused is guilty of dangerous driving if they drove a motor vehicle dangerously on a road or other public

LEXISNEXIS

Joint, several, and joint and several liability

ContractWhere a contract is made by two or more parties it may contain a promise or obligation made by two or more of those parties. Any such promise may be:•joint•several, or•joint and severalWhether an undertaking is joint, several, or joint and several in contract is a question of construction

LEXISNEXIS

Double insurance and contribution

Overlapping insurance policesThere are various reasons why an insured may end up with overlapping insurance cover, whether deliberately or otherwise.Examples include the situation where the insured takes the benefit of other insurance arranged by another party or where, in the commercial world, risk

LEXISNEXIS

Sources of Shari'ah

IntroductionShari'ah (also Sharia, Shariah or Shari’a) (literally, in Arabic, 'the path towards the watering place') or Islamic law is the legal system of the religion of Islam that sets out a system of duties or code of conduct for individuals to follow so that they may live their life in a