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Instructing third parties

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Latest Practice Compliance News

Financial sanctions guidance shows subtle policy shift

Financial sanctions guidance shows subtle policy shift

The following Corporate Crime news provides comprehensive and up to date legal information on Financial sanctions guidance shows subtle policy shift

Question of the week: what constitutes ‘conveyancing’ under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017? Would secured lending where there is no change of title fall under ‘conveyancing’ as above?

Question of the week: what constitutes ‘conveyancing’ under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017? Would secured lending where there is no change of title fall under ‘conveyancing’ as above?

Question of the week: what constitutes ‘conveyancing’ under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017? Would secured lending where there is no change of title fall under ‘conveyancing’ as above?

Practice Compliance weekly highlights—15 April 2021

Practice Compliance weekly highlights—15 April 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—15 April 2021

SEC official says agency can help self-reporting companies dig up information, achieve 'closure' in US FCPA cases

SEC official says agency can help self-reporting companies dig up information, achieve 'closure' in US FCPA cases

The following Corporate Crime news provides comprehensive and up to date legal information on SEC official says agency can help self-reporting companies dig up information, achieve 'closure' in US FCPA cases

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 Instructing third parties content

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

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
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
Q&As

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 20-character code that is unique to the entity it is allocated to. Once issued, a...
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26th Dec
Practice notes

Instructing third parties 2019

This Practice Note reflects requirements in the SRA Codes of Conduct 2019 in relation to instructing third parties, in force from 25 November 2019....
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7th Dec
Practice notes

Introductions and instructions to third parties—SRA 2011 regime and SRA 2019 regime compared

This Practice Note contrasts the requirements in the SRA’s 2011 and 2019 regimes in relation to introductions and instructions to third parties. For...
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7th Dec
Practice notes

Evaluating and monitoring third parties

This Practice Note provides guidance on suggested procedures for evaluating and monitoring third parties such as barristers and experts who are...
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7th Dec
Precedents

Instructing third parties policy 2019

1Introduction1.1This policy describes our approach to instructing experts, barristers and other third parties to provide input into a client’s matter....
Read More >
7th Dec
Precedents

Instructing third parties—annual review

A: General informationDate of reviewPerson(s) conducting reviewB: Review and findingsAre your Instructing third parties policy and processes up to...
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7th Dec
Precedents

Instructing third parties—bi-annual monitoring record

A: General informationDate of reviewPerson(s) conducting reviewB: Review and findingsIs your Register of third parties up to date?Yes/NoIf no, ensure...
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7th Dec
Precedents

Instructing third parties—flowchart 2011 [Archived]

Click below to view or

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7th Dec
Precedents

Third party evaluation form

This form should be completed by fee earners and sent to [the compliance officer for legal practice] after a third party has carried out your...
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7th Dec
Precedents

Third parties register

Please click for an Excel version of this register.

Please note that t

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7th Dec

Popular documents

LEXISNEXIS

Arbitration agreements—definition, purpose and interpretation

This Practice Note considers the nature and scope of arbitration agreements with a particular focus on arbitration agreements pursuant to the law of England and Wales, although it also discusses the concept from an international perspective and includes some comparative examples from other

LEXISNEXIS

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 amounts of money paid to public officials or others as a means of ensuring that they perform their duty, whether more promptly or at all. In some

LEXISNEXIS

Payment in lieu of notice (PILON)

The right to notice means a right for the employee to remain in employment for the period of notice, not simply to be paid for it. An employer will therefore often include in the contract an express right to make a payment in lieu of notice ('PILON') as an alternative to giving notice, to ensure

LEXISNEXIS

Promissory estoppel

For guidance on the basic features of the doctrine of estoppel and the different classifications it has been subject to, see Practice Note: Estoppel—what, when and how to plead and related content.Promissory estoppel—what is it?Where A has, by words or conduct, made to B a clear and unequivocal