Undertakings

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Practice notes
Dawn raid—who can raid my organisation and why?IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation...
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Produced in partnership with Michael Potts of PCB Byrne 19th May
Practice notes
Conflicts of interest, confidentiality and disclosure 2019—in-house lawyersThe SRA Code of Conduct for Solicitors, RELs and RFLs (Code for Solicitors)...
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19th May
Practice notes
Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...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
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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19th May
Practice notes
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
Practice notes
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
Practice notes
Money Laundering Regulations 2017—simplified due diligenceYou may apply simplified customer due diligence (SDD) measures in relation to particular...
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19th May
Practice notes
Proceeds of Crime Act 2002—key information for businessesThe Proceeds of Crime Act 2002 (POCA 2002) came into force on 24 February 2003. It applies to...
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19th May
Practice notes
Brexit legislation trackerThis Practice Note tracks the progress of UK legislation introduced as part of the legislative project associated with the...
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19th May
Practice notes
Tipping-off and prejudicing an investigationThere are several offences of tipping-off and prejudicing an investigation that apply to the regulated...
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19th May
Precedents
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 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
Practice notes
SRA Code of Conduct for Solicitors, RELs and RFLs—for in-house lawyersThis Practice Note provides guidance for in-house solicitors on the SRA Code of...
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19th May
Precedents
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
Getting the Deal Through: Merger Control 2021Jurisdictions coveredThe following jurisdictions are covered in this report:Albania; Australia; Austria;...
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19th May
Practice notes
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

Most recent Undertakings content

Practice notes
Dealing with freelance solicitorsFrom 25 November 2019, the SRA Standards and Regulations introduced a new method of practising: the freelance...
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17th Sep
Precedents
Undertakings—annual reviewA: General informationDate of annual reviewPerson(s) conducting annual reviewB: Data1Rolling dataCriteriaIn the last [insert...
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15th Aug
Precedents
General undertakings policy1Policy statement1.1It is the policy of [firm name] (‘the firm’) to conduct its business in compliance with the highest...
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15th Aug
Precedents
Undertakings policy for property transactions1Policy statement1.1It is the policy of [firm name] (‘the firm’) to conduct its business in compliance...
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15th Aug
Precedents
Undertakings—quarterly monitoring recordA: General informationDate of reviewPerson(s) conducting reviewB: Data1Rolling dataCriteriaIn the last [insert...
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15th Aug
Practice notes
Undertakings and the courtThis Practice Note explains:•what powers the court has to enforce undertakings•when it is likely to exercise those...
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15th Aug
Q&As
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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31st Jul
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...
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31st Jul
Q&As
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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31st Jul
Q&As
Is a solicitor bound by an undertaking that they cannot complete because the client has changed solicitors?The SRA Glossary defines an undertaking...
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Produced in partnership with Peter Steel of Augury Consulting Limited 31st Jul
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...
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31st Jul
Q&As
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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31st Jul
Q&As
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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31st Jul
Q&As
Can I formally discharge an undertaking if I have ceased to act for a client and cannot make contact with them?We would refer you to Practice Note:...
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31st Jul
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...
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31st Jul
Practice notes
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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31st Jul
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...
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31st Jul
Precedents
Undertakings registerPlease click for an Excel version of this register.This register is intended to record non-routine undertakings given by the...
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30th Jul

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