1 Introduction 1.1 This document sets out our plan for complying with the numerous regulatory requirements that apply to our firm and forms part of our overall risk management strategy. 1.2 Failure to comply with regulatory requirements or properly manage our regulatory risks can have the following consequences: 1.2.1 clients may not receive the level of service they are entitled to expect, which may result in complaints or negligence claims; 1.2.2 our reputation could be damaged; 1.2.3 our firm or individuals within our firm could be disciplined by the SRA or another regulator, which could lead to fines, disqualification or other sanctions; or 1.2.4 our firm or individuals within our firm could be exposed to criminal prosecution. 1.3 We have always taken compliance extremely seriously and will continue to do so. 2 Compliance obligations 2.1 Our firm is directly regulated by the Solicitors Regulation Authority (SRA), as are our solicitors[, Registered European Lawyers (RELS), Registered Foreign Lawyers (RFLs) and Registered Swiss Lawyers (RSLs)]. The SRA also has a range of enforcement powers over our firm’s [members OR partners OR directors] and other staff. Our firm and all staff are therefore required to comply with relevant parts of

Company number: [insert number] [insert company name] LIMITED (the Company) Statement of directors We, being all of the directors of the Company, make this statement for the purposes of section 644(5) of the Companies Act 2006 (the CA 2006). We

Arbitration analysis: In December 2013, Ioan and Viorel Micula obtained a US$250 million award in a long-running ICSID arbitration against Romania. As well as being one of the largest ICSID awards on record, the tribunal’s rejection of Romania’s defence to violations of the provisions of a bilateral investment treaty based on EU law obligations is a significant development in investment treaty law.

This Practice Note focuses on the key points for public authorities to consider when complying with a freedom of information request. Under the Freedom of Information Act 2000 (FIA 2000) a public authority has an obligation to respond to a valid request for information made by any person, located anywhere in the world. Upon receipt of a valid request, the authority has a duty to confirm or deny in writing whether it holds the information requested, and if that is the case to communicate that information to the applicant, unless an exemption applies. Upon receipt of a request, an authority should: • record the date on which the request was received • assess the validity of the request • establish whether information of the description specified in the request is held by the authority • estimate the cost of compliance • consider charging a fee • consider whether any exemptions apply An authority may not need to disclose the requested information if: • the cost of doing so would exceed the appropriate

Dispute Resolution analysis: It is common to find notification clauses in share purchase agreements and, increasingly, in other types of agreements. Notification clauses essentially provide that, before a party to the agreement can bring a claim against the other party to the agreement, the claiming party must serve a notice of the claim on that other party. Failure to comply with the requirements of the notification clause may render the claim unenforceable and liable to be struck out and/or summarily dismissed. What then constitutes compliance? In Drax Smart Generation Holdco Ltd v Scottish Power Retail Holdings Ltd [2024] EWCA Civ 477 (‘Drax’), the Court of Appeal seemed to suggest that as long as the recipient knew enough to be able to take steps to assess or prepare itself for any impending claim, that is sufficient to comply with the notification clause. However, the authorities on this topic, including other Court of Appeal decisions, do not all speak with one voice. The law in this area therefore still appears to be in a state of flux. Written by Ben Summerfield, partner at Morrison Foerster, and James Wong, associate at Morrison Foerster.

Definitions for Compliance clause Regulations • means any law, enactment, regulation, and regulatory policy, guideline, requirement and industry code of any Regulatory Authority (including good practice codes) applicable to any part of the [goods OR services OR goods or services] or the Supplier or the Customer; Regulatory Authority • means any person

This Checklist consists of practical steps which service providers can take in relation to their provision of goods, services and facilities in a way that is compliant with their obligation not to discriminate between customers under the Equality Act 2010 (EqA 2010). See Practice Note: Equality Act 2010—discrimination in the provision of goods, services and facilities. General principles • Treat everyone accessing your goods, facilities or services equally (and no less favourably than any other person accessing the same)—regardless of age, gender, race, sexual orientation, disability, gender reassignment, pregnancy or maternity, religion or belief. This does not mean you have to treat everyone in the same way; in some circumstances, you may need to provide services in a different way to meet the needs of people, for example, when making reasonable adjustments for those with a disability, carrying out lawful positive action initiatives under the EqA 2010, or for the provision of single sex services. • Look at your physical premises and customer processes

The ‘comply or explain’ approach underlies governance'>corporate governance in the UK. All listed companies are required under the Listing Rules of the Financial Conduct Authority (FCA) either to comply with the provisions of the UKCG Code or to explain to shareholders in the annual report why they have not done so.

Law360: The importance of supply chain transparency and assessing supply chain risk is informed by a significant volume of recent legislative developments, case law, evolving societal expectations and heightened scrutiny from stakeholders across jurisdictions.

On receipt of an adjudicator’s decision, the parties’ options are, broadly, to comply with the decision, or to challenge or resist it. In many cases, the parties will accept and comply with the decision. In other cases, one or both parties might be dissatisfied with the decision (whether on its merits, or because of an error of jurisdiction or natural justice): they may therefore seek to challenge the decision in further proceedings, or attempt to settle the underlying dispute. This Practice Note offers practical guidance on the immediate issues that parties should consider, whichever course of action they propose to take. Complying with the decision Parties choosing to comply with the adjudicator’s decision should, in the immediate term, consider the following actions: Issue Considerations Further reading Comply with orders to make payments, pay the adjudicator’s fees, and take other actions ordered by the adjudicator • in the immediate term, they should ensure that they are aware of, and comply with, all orders to make payments, pay the adjudicator’s fees, or take other relevant actions Take

How to use this Checklist This Checklist is designed to highlight the key compliance requirements under the Online Safety Act 2023 (OSA 2023), which contains the UK’s framework for the regulation of certain internet services. It is a high-level summary in checklist format. The Checklist considers to which platform service providers OSA 2023 applies, outlines steps they can take in order to comply, and notes some of the key concepts associated with the legislation. The safety duties under OSA 2023 (ie the illegal content safety duties and the child safety duties) are already in force. These are key components of OSA 2023 and for more information on them, see Practice Notes: The illegal content duties under the Online Safety Act 2023 and The child protection duties under the Online Safety Act 2023. Note that in summer 2026, the government announced that it would be pressing ahead with a total ban on social media services for under-16s, along with associated curfew restrictions for 16 and 17-year-olds. For more information, see: LNB News 15/06/2026 32 and LNB

What is COLL? The Financial Conduct Authority’s (FCA) Collective Investment Schemes sourcebook (COLL) is a specialist sourcebook within the FCA Handbook. It sets out the detailed framework governing authorised funds. COLL is supplemented by the COLL Information Guide (COLLG), which is covered in COLLG below. COLL forms a major part of the product regulation regime for investment companies with variable capital (ICVCs), commonly known as open-ended investment companies (OEICs), authorised unit trust schemes (AUTs), authorised contractual schemes (ACSs) and related parties. COLL: • supplements the requirements in the Open-Ended Investment Companies Regulations 2001, SI 2001/1228 (OEIC Regulations), in relation to ICVCs. For further information, see Practice Note: Open-ended investment companies (OEICs) • supplements Chapter III of Part XVII of the Financial Services and Markets Act 2000 (FSMA 2000), in relation to AUTs. For further information, see Practice Note: Authorised unit trusts (AUTs) • supplements Chapter 3A of Part XVII of FSMA 2000, in relation to ACSs. For further information, see Practice Note: Taxation of authorised contractual schemes (ACS) • supplements FSMA 2000, s 272,