Legal Checklists

This Checklist outlines a series of practical measures that a main contractor should weigh up if a sub-contractor it has appointed becomes insolvent during a construction project. It proceeds on the basis that the parties have a written sub-contract covering construction works that remain unfinished, and that the arrangement is not a PFI project. The precise response in any given case will inevitably turn on the contractual provisions between the parties and the stage the works have reached at the point of the sub-contractor’s insolvency, but this Checklist is intended to act as an initial framework for the contractor should such circumstances arise. For guidance on identifying warning signs of solvency issues and safeguarding the contractor’s position at the outset of a project, see Practice Note: Construction insolvency-how to spot problems and how to protect...

This checklist of resources highlights key considerations when preparing, reviewing and negotiating commercial contracts to take account of the limits on ipso facto provisions brought in by the Corporate Insolvency and Governance Act 2020 ( CIGA 2020), and to ensure agreements remain compliant and workable on insolvency. Corporate Insolvency and Governance Act 2020-the impact for commercial lawyers CIGA 2020 amended the Insolvency Act 1986 ( IA 1986), introducing measures to secure the continuity of essential supplies and to curtail contractual termination rights triggered by insolvency (the so-called ‘ipso facto’ clauses) in contracts for goods and services. The issues most pertinent to general commercial practitioners when drafting and negotiating contracts are: contractual rights to terminate for an insolvency event, or to take any other step because of a customer’s insolvency, in contracts for the supply of goods and services, are no longer...

Purpose of checklist This checklist aims to set out the types of considerations that must be kept in view-and for which client instructions will be required-when preparing a joint venture agreement ( JVA) and articles of association for a corporate real estate transaction. For further key points to address when drafting a JVA, see Checklists: Corporate joint venture preliminary issues-checklist and Joint venture shareholders’ agreement-checklist. See also Practice Note: Property Joint Ventures-general issues for a summary of the commercial matters the joint venture parties will need to weigh when establishing a property joint venture ( JV). Corporate real estate JVs typically involve collaboration between parties able to source real estate (with one party possibly owning, and contributing to the joint venture company ( JVC), the property to be developed), provide substantial capital to the JVC, supply or arrange debt funding (to finance the...

This checklist sets out the points to review and the actions to take to restore a dissolved company to the register using the administrative restoration procedure. For each matter or step, include the relevant Companies Act 2006 ( CA 2006) section or other citation, and mark when the item has been completed or considered. Preparing for administrative restoration and preliminary checks Confirm that the administrative restoration process is available. It may only be used where the Registrar of Companies has struck the company off the register. It does not apply where the company sought its own voluntary strike off under CA 2006, s 1003. CA 2006, ss 1000–1003; The Registrar’s powers to strike off a company. Ensure that the application for administrative restoration will be made by a former director or former shareholder of the company. CA 2006, s 1024(3). Check that the...

Checklist This Checklist highlights the principal points and provisions to address when preparing and negotiating the novation of a contract to a third party. Precedents Novation agreement-long form Novation agreement-short form Deed of novation-long form Deed of novation-short form Short form letter of novation Information on novation Practice Note: How to novate a contract Practice Note: Novation-why and how to novate a contract Third parties, subcontracting and transfers-overview For sector-specific guidance in construction, see: Novation in construction projects-overview. Note that for contracts novated on or after 31 December 2018, the Business Contract Terms ( Assignment of Receivables) Regulations 2018, SI 2018/1254 may render ineffective any restrictions on assigning receivables. For further detail, see the drafting notes and optional clauses in Precedent: Assignment clause, and News Analyses: Updated draft regulations on business contract terms and Back for good-new Business Contract Terms (...

This Checklist outlines the Guideline Hourly Rates ( GHR) across periods from 1 October 2021 through 31 December 2023, and the current figures, which were adjusted for inflation on 1 January 2026. From 2024, the GHR are uplifted each year for inflation in line with the Services Producers Price Index. The 2021 Guide remains pertinent for practitioners as it explains the purpose and approach to GHR. At paragraph 28, it states that GHR provide a baseline for summary assessment and can also sensibly inform detailed assessment. The rate applied will also turn on the fee earner’s grade and location, for example whether a Grade A working in London or outside London. For principles and the courts’ approach, see Practice Note: Guideline hourly rates. GHR from 1 January 2026 Grade A - Solicitors and legal executives with over eight years’ qualified...

Estate of [insert name of deceased] Clients: [insert names of executors/administrators] File reference: [insert file ref] The details requested in this questionnaire are needed for the application for a grant of representation. Please complete what you can, and also gather the death certificate together with any documents and passbooks, as asked for within this questionnaire. A Personal details of the deceased Copy death certificate enclosed YES / NO 1 State the courtesy title ( Mr, Mrs, etc) and any professional title (eg Dr) 1.1 Provide the deceased’s full name 1.2 Provide any alternative name or names by which they were known 2 Occupation of the deceased 2.1 Was the deceased retired? YES / NO 2.2 National Insurance number 2.3 Unique taxpayer reference; please attach income tax papers 3 A Give the address of the nursing or care home (only if this was the...

This checklist guides you to take appropriate measures to spot, monitor and handle risks linked to conflicts of interest, and to comply with the SRA’s requirements. It mirrors the SRA Standards and Regulations. Requirement Compulsory or recommended Comments (if any) ☐ Implement a robust system to recognise and assess conflicts of interest, ensuring you do not act where a conflict exists unless an exception applies. See: - Practice Note: Conflicts of interest-systems and controls - Precedent: Conflicts, confidentiality and disclosure policy-law firms Compulsory - SRA Code for Firms, paras 2.1, 2.5, 6.1 and 6.2 ( Insert any comments you may wish to make regarding your firm’s arrangements) ☐ Create a register of interests held by partners and staff, which you can consult to identify own‑interest conflicts. See Precedent: Register of interests to identify own interest conflicts. Recommended - This will help you identify conflicts and...

This tracker outlines the consultation papers issued by the Financial Services Authority ( FSA) from 2008–2013, listed in reverse date order, and includes links to the relevant FSA webpage and/or PDF versions of the papers. For details of Financial Conduct Authority ( FCA) and Prudential Regulation Authority ( PRA) consultation papers, together with subsequent rules and guidance, see: • FCA consultation paper tracker-2021 [ Archived] 2013 Publication date Consultation Paper (including FSA webpage if available) Description March 2013 - FSA webpage: CP13/9: Implementation of the Alternative Investment Fund Managers Directive Part 2; CP13/9: Follow-up consultation on draft rules and guidance for implementing the Alternative Investment Fund Managers Directive ( AIFMD). March 2013 - FSA webpage: CP13/8: Publishing information about warning notices; CP13/8: Proposals on how the Financial Conduct Authority ( FCA) would publish details about the...

FORTHCOMING CHANGES : There are several proposed reforms to the leasehold and enfranchisement framework-see Practice Note: Property key future developments tracker for further details. This Checklist outlines what a tenant must consider and the actions required, with associated timetables and cut-off dates, to collectively buy the freehold of qualifying premises under the Leasehold Reform, Housing and Urban Development Act 1993 ( LRHUDA 1993). It covers service of a section 13 notice of claim; review of a landlord’s section 21 counter-notice admitting or denying the claim and/or resisting it on redevelopment grounds (together with steps where the landlord fails to serve one); and the limits for applying to the First-tier Tribunal ( FTT) (or, in Wales, the Leasehold Valuation Tribunal ( LVT)) to settle terms if not agreed and/or to the County Court where the contract is not completed within the statutory period after terms are agreed or...

This Checklist summarises the principal due diligence considerations for listed building consent in Scotland. It identifies when consent is needed under the Planning ( Listed Buildings and Conservation Areas) ( Scotland) Act 1997 ( P( LBCA)( S) A 1997), including for demolition, and for alterations or extensions that affect a building’s character. It highlights the implications of undertaking works without consent or contrary to its terms, such as enforcement measures, potential criminal liability, and the absence of any limitation period for action. It also addresses planning authority powers where a listed building is in disrepair, how possible contraventions are uncovered through enquiries and searches, and what a client-facing due diligence report should cover. It forms part of a broader set of Scottish planning guidance, see: Planning for property lawyers in...

Both parties Is the Claimant properly classed as an employee? Refer to Practice Notes: Entitlement to claim unfair dismissal- Eligibility and Employee status. Did the Claimant meet the necessary length of service? See Practice Note: Qualifying period for unfair dismissal. Has the Claimant satisfied the early conciliation requirement, or does an exemption apply? Refer to Practice Note: The early conciliation requirement. Is the claim issued within three months, or within any extension triggered by early conciliation? See Practice Notes: Unfair dismissal time limit and The early conciliation requirement- Extension to time limits (the 'stop the clock' provisions). Could the employment contract be void for illegality? See Practice Note: Entitlement to claim unfair dismissal- Illegality. Is the Claimant within an excluded class, eg police constables, and therefore outside unfair dismissal protection? See Practice Note:...

Purpose of this Checklist This checklist supports Solvency II UK firms in aligning governance, systems and controls with the expectations of the Financial Conduct Authority ( FCA) and the Prudential Regulation Authority ( PRA). It should be read alongside Practice Note: Governance, systems and controls requirements for insurers, which provides a more detailed overview of the relevant requirements. Governance and organisational structure Confirm the board holds ultimate accountability for compliance with PRA, FCA and applicable legislative obligations. Establish a robust system of governance, featuring a transparent organisational structure with clearly allocated and segregated responsibilities. Regularly review and update written policies covering risk management, internal control, internal audit and, where relevant, outsourcing. Maintain documented governing body approvals for significant decisions and policy changes. Risk management Implement and embed an effective risk‑management system within decision‑making, ensuring ongoing identification, measurement, monitoring, management and reporting of...

These trackers outline the consultation papers issued by the Financial Conduct Authority ( FCA) from 2013 onwards, together with the release of any relevant later rules and guidance: FCA consultation paper tracker-2026 FCA ......

This timeline summarises significant updates linked to Regulation ( EU) 909/2014 (the EU Central Securities Depositories Regulation) from January 2024 onwards. For prior milestones, see Central Securities Depositories Regulation ( CSDR)-timeline [ Archived]. 2025 3 December 2025 - ESMA - Consultation Paper Draft Regulatory Technical Standard revising Commission Delegated Regulation ( EU) 2017/390 supplementing Regulation ( EU) No 909/2014 on prudential requirements for central securities depositories and designated credit institutions providing banking‑type ancillary service. The EBA seeks views on proposed amendments to the RTS for CSDs and designated credit institutions delivering ‘banking‑type ancillary services’. The changes mirror CSDR Refit updates, in particular enabling banking CSDs to offer such services to other CSDs. Submissions are invited by 3 March 2026. 21 November 2025 - European Commission ...

This Checklist outlines the principal requirements for witness evidence in family proceedings under the Family Procedure Rules 2010 ( FPR 2010), SI 2010/2955, Pts 22 and 24, together with applicable practice directions and guidance. It covers how witness statements should be prepared and what they must contain, including formalities, statements of truth, and arrangements where a witness cannot read, cannot sign, or needs a translation. The Checklist also addresses procedure, including filing and service, witness summonses, and the deployment of evidence at interim and final hearings, encompassing deposition and hearsay material. It is designed to help practitioners comply with procedural obligations and judicial guidance, notably the President of the Family Division’s memorandum on witness statements issued in November 2021. See also Practice Note: Witness evidence in family proceedings... General approach Reference Confirm whether witness evidence is required under FPR 2010, SI...

Statutory right to cash equivalent Individuals in defined benefit workplace pension schemes have a legal entitlement to transfer the cash equivalent of their scheme benefits to certain other pension arrangements. From 30 November 2021, using this right requires meeting one of two conditions set out in the Occupational and Personal Pension Schemes ( Conditions for Transfers) Regulations 2021, SI 2021/1237, designed to protect members from fraudulent schemes. The stated cash equivalent is guaranteed for a three‑month period. This statutory entitlement takes precedence over any conflicting terms in the scheme’s trust deed and rules. The right applies where a member’s pensionable service has ended at least one year before normal pension age and the member has accrued rights under the scheme. Members who continue in service after pensionable service ends only acquire a......

Checklist of resources This checklist brings together key issues to consider when drafting and negotiating governing law and jurisdiction clauses in commercial B2B contracts. Governing law and jurisdiction clauses are classified as boilerplate provisions in an agreement. For more on boilerplate clauses, see: Boilerplate clauses-overview. For guidance on the purpose of boilerplate clauses and approaches to reviewing and drafting common boilerplate terms, see Practice Note: The role of boilerplate. A governing law clause (also called an applicable law clause) enables the parties to choose the substantive law that will govern interpretation of the agreement and, if a dispute arises, matters relating to it. For an example of a governing law clause, see Precedent: Governing law clause. The applicable law clause in a contract will usually appear alongside a jurisdiction clause. It is important to understand that jurisdiction and governing law are distinct matters. A...

Introduction When contracting in a business-to-business setting, aim to secure as much contractual protection as your negotiating position allows. This checklist explains how key clauses can control risk and safeguard businesses-whether you are a supplier or a customer-and how to negotiate them to extract the greatest benefit... Key provisions General comments Payment Payment security Confirm the financial stability of the party you are buying from or selling to by carrying out a credit check. Decide if a payment safeguard is needed, for example: a parent company guarantee a letter of credit or a bank performance bond Customer Will the customer be able to honour its payment commitments? Consider obtaining credit insurance, and continue to run credit checks throughout the life of the contract to manage overall exposure to...

This checklist has been prepared for the buyer and is intended to spotlight common issues and the key questions to address when conducting due diligence in a share purchase where the seller is a limited liability company. It concentrates on the IP assets and rights aspects of the deal and should be used alongside due diligence in other areas, such as IT and financial position. For corporate aspects of these transactions, see Share purchase agreement-overview. For further information, see: Practice Note: IP issues to consider in share purchase contracts Information technology due diligence in share purchase transactions-checklist Practice Note: IP due diligence for software companies Practice Note: Corporate transactions for technology lawyers Share purchase transactions- IP issues-checklist For example agreements, see Precedent: IP due diligence...