Information Law analysis: This case concerned a complex tax structure devised by the claimant which resulted in associated claims for breach of confidence, procuring a breach of contract and unlawful means conspiracy. All except the second defendant were held liable for breach of confidence and unlawful means conspiracy. The claim for procuring a breach of contract was time-barred. The judgment provides a useful overview of the law on breach of confidence, the nuances of confidentiality when public and private information is combined and how other causes of action might arise on similar facts. On the procedural front, the judge considered (and sanctioned) serious breaches of CPR PD 57AC’s requirements for trial witness statements. Written by Edward Rees, associate at Trowers & Hamlins LLP.

The current term for meeting the requirements of regulators.

The Compliance Plan Approach (CPA) is a compliance quality system that will apply to the design and construction of certain ‘High Risk Buildings’ (HRBs) in Scotland. Under this system, the actions of parties involved in the design and construction process and local authority building control verifiers will be planned, recorded, and reported on—largely through implementation of a ‘Compliance Plan’ (CP) created for the project. For the purposes of the CPA, HRBs are described as ‘including major works to create or alter’: • domestic or residential buildings higher than 11 metres • educational, community and sports buildings • non-domestic public buildings under local authority control • hospitals • residential care buildings The question of whether a project involves ‘major works’ must be defined in terms of the impacts on life safety. Relevant features of a project will include the complexity, scale, and value of the works, along with escape routes, any cladding alterations/new installations, and vulnerable occupants. Whether a project entails major works is a matter for the local authority verifier to decide. These definitions may, however,

1 General Date of review [Insert date of review] Person completing review [State name and position of person completing review] 2 Whistleblowing reports Complete the table below regarding any reports made under the organisation's whistleblowing policy. Date(s) of event giving rise to report Date of report Brief description Current status Is there an ongoing risk of similar incidents? [insert date] [insert date] [insert description] [insert status] Yes/No [insert date ] [insert date] [insert description] [insert status] Yes/No 3 Other compliance breaches Complete the table below regarding any compliance breaches that are significant, either individually or because they represent a pattern or trend that is significant. Date(s) of compliance breach Type of breach Brief description Individually significant or part of a trend? Is there an ongoing risk of similar breaches? [insert date] [insert date] [insert description] [Individually significant OR Part of a trend OR Yes/No [insert date] [insert date] [insert description] Individually significant OR Part of a trend] Yes/No 4 Internal investigations Complete the table below in relation to any internal investigations occurring over the previous [insert timeframe, eg 12 months]. Summary of investigation Date of incident giving rise to investigation Type

1 Background information Name of person completing this record [Insert name] Compliance breach reference number [To be completed by person conducting assessment] Client name (if client-related) [Insert name] Client reference (if client-related) [Insert reference] Date suspected compliance breach identified [Insert date] Date suspected compliance breach reported [Insert date] Date Compliance breach assessment form completed [Insert date] Name of person who reported the suspected breach [Insert name] Mechanism by which report received Select one of the following:☐ Direct to COLP or COFA under compliance breach reporting policy☐ Whistleblowing

This Precedent Compliance breach register is designed to help you keep a record of compliance breaches in your organisation. The register forms part of our risk

Please click for an Excel version of this register. This Precedent compliance breach register is intended for use by a compliance officer for legal practice (COLP) in a law firm. It can be used to record actual and suspected compliance breaches, which will help you to identify patterns or trends. There is a separate register for the compliance officer for finance and administration (COFA) to record Accounts Rules breaches—see Precedent: SRA Accounts Rules breach register—COFA—law firms. The SRA expects

This form should be used by staff to report a suspected compliance breach to the firm’s COLP or COFA. All staff must promptly report any facts or matters they reasonably believe are capable of amounting to a compliance breach (see our Breach reporting policy for what this means). You do not have to be certain that a compliance breach has happened—you just need a reasonable belief that something may constitute a compliance breach. We will not (and you must not) subject any person to detrimental treatment for making or proposing to make a report

A certificate usually signed by the directors and, in certain situations the auditors, of a corporate borrower confirming that the borrower is in compliance with certain obligations contained in the loan agreement, typically the financial covenants.

A national system used by the Environment Agency for categorising non-compliance with different regulatory permit conditions, based on the same approach as the Common Incident Classification Scheme (CICS).

1 Assessment Rate your organisation’s compliance culture by considering to what extent you agree (or otherwise) with the following statements. Statement Rating (please tick) Senior leadership actively supports and understands your organisation’s compliance efforts. □ 5—strongly agree□ 4—agree□ 3—neither agree nor disagree□ 2—disagree□ 1—strongly disagree Compliance efforts are not unnecessarily constrained by budget concerns. □ 5□ 4□ 3□ 2□ 1 Compliance/in-house

1 [Insert policy name, eg anti-bribery and corruption] compliance declaration [Insert organisation’s name] takes a zero-tolerance approach to [insert subject, eg bribery and corruption]. We provide all staff with our [insert