1 Introduction 1.1 Client and matter inception is an important exercise in protecting our firm, getting to know our clients and what they need from us, and complying with a number of different regulatory obligations. 1.2 This document sets out our process for taking on new clients and opening new matters. It applies to all individuals working at all levels, including partners, consultants, solicitors, other employees (whether permanent, fixed-term or temporary), contractors, trainees, seconded staff, home-workers, casual staff, agency staff, interns and students, agents, sponsors, volunteers or any other person associated with the firm wherever located (collectively referred to as ‘staff’ in this policy). 2 Responsibility The [insert, eg compliance officer for legal practice (COLP)] is responsible for this document and for supervising the firm’s arrangements for client and matter inception. If they are unavailable and a response is required, you should contact [state who should be contacted, eg their deputy, your line manager, a partner]. 3 New client details and checks 3.1 You must identify who you are acting for in relation to any matter and where the AML, CTF and counter-proliferation financing

1 General information Date of annual review [Insert date] Person conducting annual review [Insert name] 2 Review and findings Does your client care letter and/or terms of business comply with information requirements in?• the SRA Standards and Regulations • Legal Ombudsman’s Scheme Rules • guidance issued by the Law Society See Practice Note: Client care letter and terms of business—information requirements. ☐ Yes☐ NoIf no, ensure you set an action point at section 3 below to address this Do your client care letter and/or terms of business incorporate the correct cancellation wording where the Consumer Contracts Regulations 2013 apply ☐ Yes☐ NoIf no, ensure you set an action point at section 3 below to address this Do your client care letter and/or terms of business include a statement of your commitment to equality and diversity and notify clients that they can request a copy of your equality and diversity policy? ☐ Yes☐ NoIf no, ensure you set an action point at section 3 below to address this Do your client care letter and/or terms of business draw your client’s attention to the terms of your policy

This Practice Note is intended for law firms. It sets out key information requirements in the SRA Standards and Regulations that are relevant to client care letters and terms of business, together with relevant SRA and Law Society guidance. It also pulls together key information requirements from non-legal sector specific regulation, eg in relation to cancellation rights or data protection. It also states when and in what form the information should be supplied. There is very little information that the SRA specifically requires you to provide to the client in writing at the outset of their matter, ie in your client care letter or terms of business. In fact, there is no regulatory requirement to have either a client care letter or a terms of business document. However, the SRA clearly expects firms to have a client care letter, as it has produced Guidance on client care letters, which is reflected in this Practice Note. This Practice Note identifies key information that you must provide to comply with: • a requirement

A client care letter (CCL) that is clear, easy to understand and contains the right information can help improve your business by: • demonstrating the values and high service standards of your business • reducing potential complaints, by clearly setting out what a client can expect particularly in relation to costs • retaining clients • explaining to your clients the regulatory protections they benefit from • explaining clearly what you need the client to do, so you can progress their matter or protect their legal position There is very little information that the SRA specifically requires you to provide to the client in writing at the outset of their matter and there is no regulatory requirement to have either a CCL or a terms of business (TOB) document. However, the SRA clearly expects firms to have a CCL, as it has produced guidance on client care letters, which is reflected in this Practice Note. This Practice Note also reflects the Law Society Practice Note: Client information requirements. For guidance on the substantive

This Checklist is intended for law firms. It provides a list of matters you should consider when drafting or reviewing your client care letter (CCL) and terms of business (TOB). It reflects the SRA Standards and Regulations 2019, SRA guidance and Law Society Practice Note on client care information. The client care letter is sometimes known as a letter of engagement and collectively the client care letter and TOB are often referred to as the retainer. This Checklist should be read in conjunction with our separate Information on costs—law firms—checklist and Practice Note: Client care letter and terms of business—information requirements. Letterhead Requirement Further guidance ☐ Ensure your firm’s letterhead includes:—your SRA authorisation number—the words ‘authorised and regulated by the Solicitors Regulation Authority’ Required by SRA Transparency Rules, r 4.2 ☐ Ensure your firm’s letterhead includes required information relating to:—the firm’s name, status and legal form —the geographic address at which the firm is established and details by which the firm may be contacted rapidly and communicated with directly, including by electronic

Dear [Insert client’s name] [Insert heading, eg matter description] Thank you for your instructions to act on your behalf in connection with [describe matter]. This Engagement Letter and the attached Terms of Business explain the basis on which we will be acting for you—together they form the contract between us. Please contact me if you have any difficulty understanding this Engagement Letter or other information we may provide, eg if anything in this letter is unclear or you require information to be provided in larger text, another format or a different language. 1 Contact details and supervision The person dealing with your matter is [insert name of person handling matter], who is a [insert status]. Their contact details are: Telephone number Email address Postal address [Insert telephone number] [Insert email address] [Insert postal address] The best way to contact [insert name of handler] is [insert best contact method and times]. If [insert handler] is not available, the following members of staff may be able to deal with any queries you have: [insert names and contact details of other members of staff who can help with queries] The person with

1 Introduction 1.1 Client care is central to the regulatory regime under which we operate. We are is committed to providing a good standard of service to all clients—all staff share the responsibility of ensuring we achieve this. 1.2 This client care manual applies to all individuals working at all levels, including partners, consultants, solicitors, other employees (whether permanent, fixed-term or temporary), contractors, trainees, seconded staff, home-workers, casual staff, agency staff, interns and students, agents, sponsors, volunteers or any other person associated with the firm wherever located (collectively referred to as ‘staff’ in this manual). 1.3 References to ‘fee earner’ in this manual includes all staff conducting client matters and/or all staff responsible for managing client relationships irrespective of their level of seniority or qualification. 2 Responsibility [Insert, eg The compliance officer for legal practice (COLP)] is responsible for this client care manual and for supervising the firm’s client care arrangements. If [insert, eg the COLP] is unavailable and a response is required, you should contact [state who should be contacted, eg their deputy, your line manager, a partner]. 3 Client care standards 3.1 In all our dealings with clients,

1 General information Date of review [Insert date] Person(s) conducting review [Insert name(s)] 2 Review and findings Are your client care manual and procedures up to date and fit for purpose? ☐ Yes☐ No (set an action point at section 3 to update your manual and processes) Are you satisfied that your processes for:• treating clients fairly • service standards, competence and supervision • identifying and responding to client attributes, needs and circumstances • conducting the matter • providing information on costs and funding • instructing and introducing clients

This Checklist is designed to help you determine whether you have the systems in place to comply with regulatory requirements that apply to law firms in relation to client care. It should be read in conjunction with Practice Note: Client care—law firms. Dealing with client matters Requirement Compulsory or recommended Comments (if any) ☐ Ensure the service you provide to clients is competent and delivered in a timely manner.See Precedent: Client care manual. Compulsory SRA Code of Conduct for Solicitors, RELs, RFLs and RSLs (Code for Solicitors), para 3.2SRA Code of Conduct for Firms (Code for Firms), para 4.2 (Insert any comments you may wish to make regarding your firm’s arrangements) ☐ Have a system for ensuring you only act for clients on instructions from the client, or from someone properly authorised to provide instructions on their behalf.See Precedents: Client and matter inception procedure and New matter form. Compulsory SRA Code for Solicitors, para 3.1SRA Code for Firms, para 4.1 (Insert any comments you may wish to make regarding your firm’s arrangements) ☐

Client care is about providing a proper standard of service to clients. This Practice Note sets out the Solicitors Regulation Authority (SRA) regulatory regime in relation to client care, service and competence, client care letters and the information to be detailed therein including costs limits, interim and statute bills, complaints handling, termination of instructions and specific information which must be provided where a client is either privately or publicly funded. It also considers the Resolution Code of Practice, Law Society guidance and the view of the Legal Ombudsman (LeO) in relation to client care. Solicitors Regulation authority regulatory regime The key requirements of the SRA Standards and Regulations include the SRA: • Principles • Code of Conduct for Solicitors, registered European lawyers (RELs), registered foreign lawyers (RFLs) and registered Swiss Lawyers (RSLs) • Code of Conduct for Firms • Accounts Rules, and • Glossary For further guidance, see Practice Note: The Solicitors Regulation Authority (SRA) regime for family lawyers. Law Society guidance In addition to the SRA Standards and Regulations, solicitors must also have regard

This Practice Note reflects requirements in the SRA Code of Conduct for Solicitors, RELs, RFLs and RSLs and SRA Code of Conduct for Firms (collectively referred to as the ‘SRA Codes of Conduct’). See also Precedent: Client care manual. Regulatory requirements in relation to client care are extensive and cover a wide range of areas. Client care requirements can also be found in the Law Society’s voluntary practice management standard, Lexcel. These requirements are compulsory for firms that have or are working towards accreditation. They are not compulsory for other firms although they provide an indicator of good practice. SRA and other requirements SRA and other regulatory requirements in relation to client care cover these themes: • dealing with client matters • vulnerable clients • accepting and refusing instructions and ceasing to act • client protections • information on costs • commissions and financial benefits • referrals and fee sharing • supervision • complaints • client care letter • other requirements Dealing with client matters The SRA Principles set out the ethical standards

The Care Quality Commission (CQC) inspects and rates residential care homes and nursing homes. The CQC’s inspection reports and ratings will be useful in understanding the quality of care provided at certain homes. See the find a care home service for further details. Accessibility This is to consider how and when visitors would be able to visit and how you would physically be able to get in and out of the building. • how will visitors be able to get there? • is there plenty of parking? • is it on a bus route, if family/friends don’t drive? • is it close to shops, post office and other facilities? • is it easy to enter and exit the care home, is the ground flat? Are there handrails? Are there wide doorways for wheelchair access? • are there any limits on visiting hours? • can you see people in the bedroom? Building Consider if the building appears to be well looked after and what facilities are there to be enjoyed. • is there a garden