This register records decisions made to accept or reject instructions where a fee earner has reported a suspected conflict or confidentiality issue to the [head of department OR manager OR COLP] for a decision on whether the firm can act. It does not record situations where the fee earner has rejected instructions at the outset because the conflict was obvious and it was not necessary to refer the matter to the [head

Instructions to fee earners on completing this form Fee earners should complete Section A and, if relevant, Section B, C or D. [You do not need to complete this form where you reject instructions at the outset because the conflict was obvious and it was not necessary to refer the matter to [your head of department OR your manager OR the COLP].] [In all other cases where OR Where] a conflict or confidentiality issue is identified, please complete this form and pass it to [your head of department OR your manager OR the COLP] together with: • the results of your conflict check • any notifications from members of staff suggesting there may be a conflict • all relevant documents or information You must submit this form before taking any steps to obtain the clients' consent to our acting. It is for [your head of department OR your manager OR the COLP] to decide whether it is appropriate to seek consent and, if so, how. The [head of department OR manager OR COLP] should complete Section E. Section A: General information Date Person reporting suspected conflict/confidentiality issue Name

Our Conflicts, confidentiality and disclosure policy sets out our general position on when we can act in conflict situations. We also issue guidelines for [certain departments OR different types of work]. These guidelines illustrate how our policy could apply in different situations, but they are not intended to be exhaustive or rigid. In each situation covered by the guidelines we must consider whether a conflict arises and, if so whether we can act. 1 Taking instructions out of normal office hours 1.1 Where we take instructions out of normal office hours, we will carry out a conflict check at the earliest possible opportunity. 2 Acting against clients we have defended 2.1 We will not defend a client in criminal proceedings and then act against them in related civil proceedings. 3 Acting for

The firm's Conflicts, confidentiality and disclosure policy sets out our general position on when we can act in conflict situations. We also issue guidelines for [certain departments OR different types of work]. These guidelines illustrate how our policy could apply in different situations, but they are not intended to be exhaustive or rigid. In each situation covered by the guidelines we must consider whether a conflict arises and, if so, whether we can act. 1 We will not act against a third party identified in our Register of interests, except where the

Our Conflicts, confidentiality and disclosure policy sets out our general position on when we can act in conflict situations. We also issue guidelines for [each department OR different types of work]. These guidelines illustrate how our policy could apply in different situations, but they are not intended to be exhaustive or rigid. In each situation covered by the guidelines we must consider

Our Conflicts, confidentiality and disclosure policy sets out our general position on when we can act in conflict situations. We also issue guidelines for certain [departments OR types of work]. These guidelines illustrate how our policy could apply in different situations, but they are not intended to be exhaustive or rigid. In each situation covered by these guidelines we must consider whether a conflict arises and, if so, whether we can act. 1 Substantially common interest 1.1 We will not act for clients under the substantially common interest exception where: 1.1.1 we may need to negotiate on matters of substance between the clients, eg negotiating on price between a buyer and seller of a property 1.1.2 there is unequal bargaining power between the clients, eg where a builder is selling to a non-commercial client 1.1.3 one or both clients will be prejudiced by lack of separate representation 1.1.4 we cannot represent the client even-handedly, or 1.1.5 the clients’ interests in the end result

In any insolvency situation there are a number of parties involved that require legal advice and, in certain circumstances, parties with common interests may choose to use the same firm of solicitors. Before accepting instructions (and on an ongoing basis), lawyers should consider whether there is a conflict of interest in acting. There are two types of conflict: own interest conflicts (sometimes called solicitor-client conflicts) and client conflicts of interest. This Practice Note explains when a law firm can act if there is or may be a conflict between two or more clients. This Practice Note considers how to identify a conflict situation, common conflict situations that may arise and how information barriers may be put in place to allow a law firm to continue to act. For detailed information on both types of conflicts and information on the wider regulatory requirements on conflicts of interest, see Practice Notes: Conflicts of interest—law firms and solicitors and Conflicts of interest—systems and controls. Client conflicts of interest What is a client conflict of interest? A client conflict

This Practice Note considers the general principles and guidance applicable to arbitrators and parties when assessing and dealing with conflicts of interest in international arbitration. This Practice Note should be read in conjunction with Practice Note: Conflicts of interest in arbitration—challenges to arbitral appointments. What are the general principles of fairness, impartiality, and independence? A cornerstone of procedural fairness is the impartiality and independence of the decision-maker and this is as fundamental an ingredient of arbitration as it is of litigation. It is reflected both in domestic arbitration laws (see, for example, the general duty of the arbitrator in section 33 of the Arbitration Act 1996 (AA 1996) to act fairly and impartially) and in international institutional arbitration rules, eg article 5.3 of the London Court of International Arbitration (LCIA) Arbitration Rules. In general, commentators have explained that independence refers to the requirement that there be no actual or past dependent relationship between the parties and the arbitrators which may or at least appear to affect

This Practice Note considers conflict of interest challenges to arbitral appointments in international arbitration proceedings. This Practice Note should be read in conjunction with Practice Note: Conflicts of interest in arbitration—applicable principles. What are the main types of conflict of interest that pose a challenge in arbitration proceedings? Advocates and arbitrators from the same barristers’ chambers or law firm It is not uncommon for advocates and arbitrators from the same barristers’ chambers and/or law firms to be involved in the same case, and this may give rise to a conflict of interest challenge. The ‘Orange List’ of the International Bar Association (IBA) Guidelines on Conflicts of Interest in International Arbitration (the IBA Guidelines, 2024 para 3.) addresses the ‘Relationship between an arbitrator and another arbitrator or Counsel'. (It should be noted that the 'Orange List’ items must be disclosed to the parties because of the possibility for raising justifiable doubts as to the arbitrator’s impartiality and independence, but these items do not result in

This Practice Note provides high level guidance on the conflicts of interest requirements set out in Chapter 10 of the Senior Management Arrangements, Systems and Controls sourcebook in the Financial Conduct Authority (FCA) Handbook (SYSC 10), including provisions which replace Commission Delegated Assimilated Regulation (EU) 2017/565 (the UK MiFID II Organisational Regulation) with effect from its revocation on 23 October 2025. Which firms do the conflicts of interest rules apply to? The following provisions of SYSC 10 apply to common platform firms (banks, building societies, designated investment firms and MIFIDPRU investment firms): • SYSC 10.1.-4R • SYSC 10.1.-3R • SYSC 10.1.1R • SYSC 10.1.2G • SYSC 10.1.3R • SYSC 10.1.4R • SYSC 10.1.5G • SYSC 10.1.6R • SYSC 10.1.6AAR • SYSC 10.1.7R • SYSC 10.1.8R • SYSC 10.1.9G • SYSC 10.1.10R • SYSC 10.1.11R • SYSC 10.1.11ABR • SYSC 10.1.12G SYSC 10 applies to a firm carrying on funeral plan distribution. SYSC 10 applies to a firm carrying on insurance distribution activities. Detailed application of SYSC 10

1 Background 1.1 This policy applies to the [trustees (‘the Trustees’) OR directors of [insert company name] (‘the Trustees’), in its capacity as corporate trustee] of the [insert name of pension scheme] (‘the Scheme’). 1.2 It is the duty of each Trustee to act impartially and to promote the purposes of the Scheme, taking account of the interests of the beneficiaries of the Scheme as a whole. Beneficiaries include [active members,] pensioners and deferred members and those claiming through them, such as dependants. 1.3 The Trustees may also take account of the interests of [insert name of sponsoring employer] (the ‘Employer’), as the Scheme sponsor, provided that this does not conflict with their fiduciary duty to the beneficiaries. Legal advice should be taken if it is necessary to establish whether a separate fiduciary duty is also owed to the Employer. 1.4 The Trustees recognise that there are occasions where their personal interests or other duties might conflict with, or might be seen by others to conflict with, their role as a Trustee of the Scheme. Possible areas that could give rise to conflicts of interest include:

The SRA Code of Conduct for Solicitors, RELs, RFLs and RSLs (Code for Solicitors) forms part of the SRA Standards and Regulations. The Code for Solicitors applies to all solicitors, registered European lawyers (RELs), registered foreign lawyers (RFLs) and registered Swiss lawyers (RSLs), wherever they are practising, including those practising in-house. All references in this Practice Note to in-house solicitors include RELs, RFLs and RSLs working in-house. The Code for Solicitors includes provisions on: • conflicts of interest • the duty of confidentiality • the duty of disclosure While all three of these are distinct compliance areas, they are often intertwined. This Practice Note sets out the Solicitors Regulation Authority (SRA) regulatory requirements relating to conflicts of interest, confidentiality and disclosure applying to in-house solicitors. It provides guidance on how the requirements apply to in-house practice and suggestions for how to manage issues that might arise. For further guidance on the SRA Standards and Regulations and the Code for Solicitors, see Practice Notes: • SRA Standards and Regulations—in-house lawyers • SRA