Many law firms use general advice files, or ‘general files’ to record (and bill) general ad hoc pieces of advice to repeat clients. These files are administratively convenient and popular with fee earners as there is no need to open a new matter for the smallest pieces of advice, saving time and paperwork. The SRA Standards and Regulations do not prohibit the use of general files. How you organise your file administration is a matter for the firm. However, general files can pose risks and, if they are used, they should be used with care. This Practice Note considers the risks associated with the use of general files by law firms and ways in which a firm can manage those risks. A general file can become the repository for a wide range of advice and correspondence, from a quick question by phone, or arrangements for attendance at an event, to something more substantial. Because the file has already been opened, it is easy for fee earners to record time

This ‘How to’ guide sets out how to manage underperformance in the workplace. It considers, in particular, the possible reasons for underperformance, the responsibilities of a manager, ways of motivating underperformers and pitfalls to be aware of, and outlines a formal performance process. Why an employer should tackle underperformance There is (at common law) generally an implied contractual term that an employee will perform their duties with reasonable care and skill and be competent to perform the work for which they have been employed. For further information on this, see Practice Note: Types of contractual term in employment—Employee’s implied obligations, under the heading ‘Competence’. The obvious problem with underperformance is that the employee concerned is not meeting the employer’s reasonable performance standards or objectives, or is not performing their duties competently. However, it can also cause a serious drain on management time and also have a knock-on effect on other employees, in that: • colleagues may have to spend time doing the underperforming employee’s work in addition to their own, or double-checking it to avoid mistakes being

Virtual meetings can be held over the telephone, via video call or using virtual meeting software, and can be far more cost and time-effective than traditional face-to-face meetings. However, hosting (or attending) a virtual meeting is different from hosting (or attending) a face-to-face meeting. Approaching a virtual meeting in the same way as a face-to-face meeting will lead to frustration at best and chaos at worst. This Practice Note provides guidance on how to prepare for and manage a virtual meeting, focusing on the most troublesome aspects and how best to work around them. This includes: • why virtual meetings are different • the importance of getting the basics right • preparing an agenda • the key skills needed to chair a virtual meeting • virtual meeting technology • avoiding common issues • dealing with distractions, and • how to help your team get the most from each virtual meeting Why virtual meetings are different Attendees can see and/or hear each other in virtual meetings, but this doesn’t mean they are

Corporate criminal liability is the legal mechanism through which an organisation may be held criminally responsible for criminal conduct, and it can arise in a number of ways. For further information on corporate criminal liability generally, see Practice Note: Corporate criminal liability. Section 250 of the Crime and Policing Act 2026 (CPA 2026) extends the circumstances in which an organisation may incur criminal liability where a senior manager commits an offence while acting within the actual or apparent scope of their authority. However, attribution under section 250 does not arise where all of the conduct constituting the offence takes place outside the UK and the organisation itself would not be liable for the offence under the relevant rules on extraterritorial jurisdiction. Whether an individual is a senior manager for these purposes, and whether section 250 applies to particular conduct, will ultimately depend on the facts and circumstances at the relevant time. A mapping exercise cannot determine that question conclusively in advance and does not provide a defence to, or otherwise

Personal branding looks not only at what we do, but also at how we do it and what impact that has on how we are perceived in the workplace. This Practice Note covers: • why personal branding is important for in-house lawyers • what is meant by the term ‘personal brand’ • how to gain insight into your own personal brand • how to develop your personal brand Why is personal branding important? As an in-house lawyer, your personal brand is not about self-promotion for its own sake. It is about how colleagues experience you in everyday interactions: what they expect when they see your name on a meeting invite or email, and whether they feel comfortable involving you in their work. You can think of your personal brand as your ‘offer’ to the organisation—the value colleagues can expect from you. Your personal brand also shapes your ability to influence decisions. Much of your impact comes from framing risk and helping the business move forward safely. Colleagues are more likely

This how-to guide is intended for law firms. It covers requirements relating to measuring client satisfaction and provides information on how to obtain feedback from your clients about their satisfaction with the services provided, including how to formulate an effective client satisfaction survey. If you are Lexcel accredited, you must have a procedure to monitor client satisfaction across all areas of the practice. Lexcel requirements are compulsory for firms that have or wish to achieve Lexcel accreditation, and generally reflect good practice for other firms. There is no single method prescribed by the Lexcel Standard to monitor client satisfaction. The Solicitors Regulation Authority (SRA) published resources on engaging with online reviews, which explains how you can improve your business by engaging with online reviews and gives you practical tips to consider when doing so. It has since published further resources covering proactively engaging with comparison websites. The SRA’s information advises firms to actively engage with clients that leave reviews and to respond to their comments. This includes thanking a client for positive reviews

Are you ready to mediate Consider: • do you know enough about your case and the other party’s case? Are the parameters of the dispute clear? Do you have all relevant documents and evidence? • is it the right time to mediate? Too early and the parameters of the dispute are unlikely to be clear. Too late and positions may be entrenched • is your client willing to engage in the mediation process? Is the other party willing to engage? The court can compel mediation Mediation, a popular form of alternative dispute resolution (ADR), continues to be urged on parties by the courts: • under the overriding objective in the CPR the court has a duty to encourage the parties to use ADR • The Courts now have a special power to direct ADR under the CPR • ADR must be considered by the parties under the Practice Direction Pre-Action Conduct and Protocols and it is addressed in the Chancery Guide • The Court of Appeal held that the Court has the power to

This Practice Note explains why it is important to monitor and assess absence in your firm, what legal considerations you should keep in mind when implementing absence monitoring measures and how to identify and implement the right absence management system for your firm. For further information and guidance about absence management, see: • Practice Note: How to develop and implement an absence management strategy—law firms • Practice Note: Dealing with long-term or chronic sickness • Practice Note: Sick pay • Precedent: Example absence management strategy—law firms • Precedent: Sample operational objectives for implementing an absence management strategy—law firms • Precedent: Absence strategy effectiveness audit The purpose of monitoring and assessing absence The systematic monitoring and assessment of absence enables you to gather qualitative and quantitative data and information to identify the most cost effective interventions for managing and reducing the impact of absence on your firm. Monitoring and assessing absence: • raises awareness of absence and ensures that absence management remains on the business agenda • enables you to identify the

The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017), SI 2017/692, as amended, require firms to establish and maintain policies, controls and procedures to mitigate and manage effectively the risks of money laundering, terrorist financing and proliferation financing identified in their firm-wide risk assessment (FWRA). Those policies, controls and procedures must: • be regularly reviewed and updated • include the monitoring and management of compliance with, and the internal communication of, such policies, controls and procedures This Practice Note is a how-to guide which considers how firms can monitor and review the effectiveness of, and compliance with, the anti-money laundering (AML), counter-terrorist financing (CTF) and counter-proliferation financing policies, controls and procedures they have established. It reflects the requirements of the MLR 2017, as amended. Tools used to monitor and review compliance and effectiveness include: • file reviews • independent audit • reporting to senior management • identifying lack of compliance or ineffective policies, controls or procedures and formulating solutions File

Section 7 of the Bribery Act 2010 (BA 2010) created a corporate criminal offence of failing to prevent bribery. It is a defence to a charge of failure to prevent bribery that a commercial organisation had adequate procedures in place to prevent it. The Ministry of Justice (MoJ) published guidance on the procedures commercial organisations should put in place to prevent bribery. The guidance is crafted around six principles. The principles are not prescriptive; they are intended to be flexible and outcome-focused. Bribery prevention procedures should be proportionate to the risk of bribery the organisation faces. Once in place, these procedures should be monitored, reviewed and evaluated. This is reinforced by MoJ principle 6—Monitoring and review. This How to guide discusses some of the ways organisations can monitor, review and evaluate their anti-bribery and corruption procedures. Importance of monitoring systems Effective monitoring and review is critical to the long-term sustainability of an organisation’s anti-bribery and corruption programme and to its ability to demonstrate adequate operating procedures. Principle 6 of the MoJ

Operating as a ‘legal business person’ is something most of us aspire to, but what are the practical things we can do to achieve that? In this Practice Note, we will focus on practical steps/activities that will help us operate as a legal business person. Cast your mind back to your first few days in your current role. Consider the induction process: • was it a specific legal induction or a general commercial one, including non-lawyers too? • what form did it take—did you meet with commercial colleagues in a series of one-on-ones, or was it more of a show and tell experience? • did you have no induction process at all and were you just left staring at an empty screen waiting for your first emails to arrive? It is helpful to think what your ideal induction process would have looked like. Whatever that process would have looked like, ideally and in your mind’s eye, that’s what you need to keep on threading through your daily working

It is very common for confidentiality agreements to be signed between parties when no external counsel has yet been appointed. As such, the onus will fall on in-house counsel to review and negotiate these. This Practice Note is intended to provide tips, guidance and highlight potential issues for in-house counsel working on lending transactions who are involved in reviewing and negotiating such confidentiality agreements. This Practice Note explains: • when and why confidentiality agreements might be necessary • what the different types of confidentiality agreements are • the main points to check when reviewing a confidentiality agreement—this is split into: ◦ key common clauses and negotiating points in confidentiality agreements, such as the definition of 'confidential information' and the 'permitted purpose' of the transaction ◦ clauses specific to the primary syndication confidentiality agreement, such as the standstill provision and no front running ◦ other clauses that are sometimes included such as non-solicitation and exclusivity, and • what is meant by back-to-back confidentiality agreements When are confidentiality agreements required? At