Legal Checklists

This Checklist outlines the position in relation to a creditors’ voluntary liquidation ( CVL) with effect from 6 April 2017. Notifications The appointed liquidator must provide the registrar of companies with the following: a copy of the statement of affairs, to be delivered within five business days after the conclusion of the decision procedure or deemed consent procedure relating to the liquidator’s appointment a copy of the notice of appointment of liquidator, to be sent within 14 days of the appointment The registrar of companies should be notified using Form 600CH. If the liquidator chooses to move the company’s registered office to their business address, they should also submit to the registrar of companies a copy confirming the change of registered office (if this has not already been filed). In February 2014, Companies House issued guidance answering frequently asked questions about insolvency filings at...

This guidance is designed to help law firms weighing up whether to outsource any part of their facilities management. It highlights the principal points to address before appointing a third‑party supplier to deliver facilities management services. It should be read alongside Practice Note: Facilities management agreements-law firms. It does not deal with regulatory inspection rights under the SRA Codes of Conduct, which are engaged when third parties perform functions on your behalf that are critical to the provision of your legal services. For more on SRA inspection rights and other regulatory matters, see subtopic: Outsourcing-law firms. Issue - Questions to consider - Response Your objectives Why are you proposing to enter into a facilities management agreement? What are you aiming to achieve, eg is the focus......

This timetable sets out the key procedural steps for disclosure under the Disclosure Scheme operating in the Business and Property Courts It outlines the required process, spanning document preservation duties, Initial Disclosure, completion of the Disclosure Review Document ( DRD), Extended Disclosure, and the actions to be taken at and following the case management conference ( CMC). Document preservation obligations Initial Disclosure Disclosure Review Document ( DRD) Extended Disclosure Steps at and after the CMC For these purposes, it is assumed the parties are legally represented. Note: this timetable does not cover disclosure under CPR 31. For additional guidance on CPR 31 disclosure, see: Disclosure-overview. The Disclosure Scheme is mandatory for most claims in the Business and Property Courts under CPR PD 57AD (in force from 1 October 2022). To assess whether the Scheme applies to a particular claim, see: Which...

Links to useful intercreditor materials This table sets out the principal checks a junior lender should make when assessing a simple intercreditor agreement between senior secured lenders, junior secured lenders and unsecured subordinated creditors. It is designed for readers with limited familiarity with intercreditor arrangements. The table highlights the core, commonly encountered points in a straightforward secured bilateral corporate loan and does not attempt to capture every potential negotiation issue, nor matters arising in specialist or more complex deals such as those in the leverage finance market. What is reasonable will vary with the nature of the transaction, the identity of the lender and the parties’ relative bargaining power. For specialist intercreditor topics, see the materials referenced below... Introductory materials Practice Note: Introductory guide to Intercreditor Agreements, covering typical provisions found in intercreditor agreements. Practice Note: How to draft and negotiate...

Debt relief orders Debt relief orders ( DROs) are a bankruptcy alternative, governed by sections 251A–251X and Schedule 4ZA of the Insolvency Act 1986 ( IA 1986), and by the Insolvency ( England and Wales) Rules 2016 ( IR 2016), SI 2016/1024, Pt 9. A DRO shields a debtor from liabilities by staying any further legal steps without the court’s leave and, after twelve months, releases the debtor from those debts. The key distinction from bankruptcy is scope: DROs apply only to individuals with no meaningful assets and no income beyond what is required for their reasonable needs, and there is no regime for collecting, realising or distributing the debtor’s estate, on the footing that there will be nothing to share. As explained in R (on the application of Payne) v Secretary of State for Work and Pensions, DROs are “a new and...

Pre-dissolution What is driving the proposed dissolution? Is the general partner leaving voluntarily or being removed from the partnership, with a successor general partner to be put in place? Is this intended to be a technical dissolution, under which a new general partner will be appointed, or a general dissolution, under which the partnership’s affairs will be wound up? Technical dissolution What does the partnership agreement say about a technical dissolution? Does it specify that, on a change of general partner, a reconstituted partnership, reflecting that change, will immediately succeed the dissolved partnership, assume its assets and liabilities, and continue the business? If it contains no such provision, the partners will need to agree the process separately and determine how the transition should occur......

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Scrutiny of construction documentation is typically pertinent to assets constructed within 12 years of the purchase date, or, for older properties, where works have been undertaken in the preceding 12-year period; however, treat this timeframe as a practical minimum only, since extended limitation periods for certain building safety-related claims may warrant a broader review for property that is, or includes, residential accommodation. See Practice Note: The construction due diligence process. This Checklist sets out the principal points that must be considered following receipt of the construction documents in relation to the property concerned. The papers should be reviewed at the outset and these key issues evaluated before putting any pre-contract enquiries to the seller. For an example of a list of pre-contract enquiries, see: Construction pre-contract...

ARCHIVED: This Practice Note is archived and is no longer maintained. This tracker outlines the consultation papers issued by the Financial Conduct Authority ( FCA) in 2022, together with the release of any follow-on rules and guidance. For FCA consultation papers from other years, see: FCA consultation paper trackers. For material from the Prudential Regulation Authority ( PRA) from 2017 and the Financial Services Authority ( FSA) from 2008 to 2013, see: PRA consultation paper tracker [ Archived] FSA consultation paper tracker [ Archived] Risk management and controls CP22/28 ( PRA CP 15/22): Remuneration: Ratio between fixed and variable components of total remuneration The FCA and PRA are jointly consulting on removing the current limits on the ratio between fixed and variable elements of total pay (the ‘bonus cap’). The proposals in this consultation paper ( CP) would take effect on the next calendar day after the final...

This Checklist This Checklist outlines the principal actions to take when completing an illegal content risk assessment under the Online Safety Act 2023 ( OSA 2023). Performing a ‘suitable and sufficient’ illegal content risk assessment is among the illegal content duties in OSA 2023. It represents the initial compliance step and should be applied to evaluate the degree of risk linked to a given service, which will then guide choices about the measures a service must adopt to meet its legal obligations. For advice on which services fall within OSA 2023 and broader guidance on duties of care, see Practice Note: The Online Safety Act 2023. This Checklist draws on Ofcom’s guidance titled Protecting people from illegal harms online- Risk Assessment Guidance and Risk Profiles ( Risk Assessment Guidance). It aims to introduce the necessary steps, with signposts to the relevant sections of the Risk...

ARCHIVED: This archived Checklist sets out a high-level summary of the issues an employer should consider before moving to dismiss an employee for misconduct, and signposts further materials. For broader guidance on handling conduct, see Practice Notes: Managing conduct and Dismissing fairly for conduct reasons. Investigation and procedure Have all internal disciplinary procedures been followed? See Practice Notes: How to conduct a disciplinary investigation and How to conduct a disciplinary hearing If there are no internal procedures, have the requirements of the Acas Code of Practice on disciplinary and grievance procedures ( Acas Code) been followed? For details, see Practice Notes: Dismissing fairly for conduct reasons and Acas disciplinary and grievance code-procedural requirements. See also Practice Note: General requirements for discipline and grievance procedures As a minimum, ensure that: ...

For model force majeure provisions with comprehensive drafting notes, consult: Precedents: Force majeure clause; Force majeure and business continuity clause; Force majeure event definition Practice Notes on force majeure: consequences and contract discharge; clause analysis-a practical guide; key and illustrative decisions Related guidance: Practice Note- Discharge by frustration; Practice Note- Drafting for unforeseen events-commercial contracts; Commercial contracts in difficult times-resources-checklist Legal Issues General comments Force majeure provisions release a party from contractual duties when a disruptive event arises beyond that party’s reasonable control... What to watch out for Under English law, force majeure applies only where expressly included in the contract terms, though the doctrine of frustration may have relevance, and in practice its scope is usually narrower. See Practice Note: Discharge by frustration... General considerations There is no court-approved, universal definition of ‘force majeure’, so the parties’ intended meaning must be......

The Green Deal The Green Deal was a government initiative enabling households and businesses to carry out energy efficiency upgrades to domestic and commercial buildings using a ‘pay-as-you-save’ model. Approved Green Deal providers sourced low-cost finance for the works with no advance payment required. Instead, the cost of the efficiency measures was added to the property’s energy bills and settled in instalments by the energy bill payer, in accordance with the Green Deal Golden Rule, namely that the anticipated monetary savings from the measures would be equal to or exceed the charges applied to the bill. Responsibility for repayment is attached to the property itself, and therefore passes to any new owner or occupier on sale or letting. The Energy Company Obligation ( ECO), which replaced the Carbon Emissions Reduction Target and the Community Energy Saving Programme, operated alongside the Green Deal. The Green Deal was...

This checklist highlights the key points to weigh up when preparing an ET1 claim or an ET3 reply. It addresses jurisdictional matters, such as the claimant’s right to pursue unfair dismissal and whether the claim was filed within time. It considers the reason for dismissal and ill-health capability, including sporadic absences, long-term absence and diminished performance. It also assesses the substantive and procedural fairness of the dismissal. Finally, it identifies remedy issues to think about, eg reinstatement, re-engagement and compensation. Both parties Was the Claimant an employee? See Practice Notes: Entitlement to claim unfair dismissal- Eligibility and Employee status Does the Claimant have the necessary qualifying service? See Practice Note: Qualifying period for unfair dismissal Has the Claimant met the early conciliation requirement, or does an exemption apply? See Practice Note: The early conciliation requirement Was the claim...

This Checklist This Checklist is intended to help determine which cross-border evidence framework applies in practice when securing material from another jurisdiction for use in the courts of England and Wales, or when obtaining material in the courts of England and Wales for use in proceedings overseas, as appropriate. In both situations, any request for evidence must support relevant court proceedings in the country in which that evidence is required. The Checklist addresses the Convention of 18 March 1970 on the Taking of Evidence Abroad in Civil or Commercial Matters-commonly known as the Hague Convention on taking of evidence-which operates only between contracting states. A contracting state will have ratified, acceded to, or succeeded to the Convention. Different factors arise when assessing whether the Hague Evidence Convention applies: the UK and the other country must both be parties to the Convention. Note the UK has extended the...

The Office of Trade Sanctions Implementation ( OTSI) OTSI sits within the Department for Business and Trade ( DBT). It supports businesses to navigate UK trade sanctions, exercises civil enforcement powers for specified breaches, and serves as the licensing authority for particular trade sanctions licences. These include licences covering the provision and procurement of certain standalone sanctioned services, as well as specific export-related prohibitions relating to goods and associated ancillary services. In the UK, responsibility for trade sanctions licensing is divided among different licensing bodies, determined by whether the activity concerns standalone services, goods, ancillary services, or imports. If the activity you intend to undertake falls within the remit of more than one authority, you may need to submit separate licence applications. See further Practice Note: Licences and exceptions in trade sanctions. This Checklist highlights key requirements and practical...

This Checklist helps organisations steer through the financial sanctions regime’s requirements and highlights suggested good practice. Read alongside subtopic: Sanctions compliance, or, for law firms, Sanctions-law firm compliance. Senior management responsibility ☐ Promote strong senior management awareness of the organisation’s obligations under financial sanctions. Recommended. Financial Conduct Authority ( FCA) Handbook, FCTR 8.3.1 and FCG 7.2.1. See Precedents: - Memorandum to board/senior management accompanying financial sanctions policy - Message from CEO reinforcing the financial sanctions policy ( Insert any comments you may wish to make regarding your organisation’s arrangements) ☐ Involve senior management in shaping sanctions policy and, where relevant, approving new business relationships. Recommended. FCA Handbook, FCTR 8.3.1. See Precedents: - Memorandum to board/senior management accompanying financial sanctions policy - Message from CEO/ Senior Member/ Senior Partner on the introduction of a financial sanctions policy - Message from CEO...

This Checklist concerns English law legal opinions customarily delivered by a lender’s solicitors as a condition precedent to drawdown of a loan facility. It proceeds, in particular, on the basis that the facility is bilateral, the lending bank is incorporated in the UK ( United Kingdom) as lender, and the addressee of the opinion is the Lender, being the law firm’s client. It further proceeds on the footing that the Borrower is a company incorporated in England and Wales, the transaction documentation, upon which the opinion is given, is governed by English law, and the underlying loan is unsecured, without any security interests being taken. For assumptions typically included where security is granted, or where the transaction has a cross‑border element, see Additional assumptions to be considered where the loan is secured and Additional assumptions to be considered where the...

What is form MR01 ( Particulars of a charge) and when do you use one? A charge granted by a company registered in the UK must be filed at Companies House unless an exception in section 859A(6) of the Companies Act 2006 ( CA 2006) applies (see: Which company charges are registrable at Companies House?). Missing the filing window can have serious consequences, so it is essential to complete registration within the required period. Form MR01 ( Particulars of a charge) is the Companies House document used to record a company charge where the charge is: created, or evidenced, by an instrument dated on or after 6 April 2013 made by a UK-registered company If a company charge is not created or evidenced by an instrument, you should instead use form MR08 ( Particulars of a charge where there is no...

This Checklist offers practitioners a route map through the array of cross-border issues to consider when proceedings feature an international element, for example a defendant domiciled outside the jurisdiction or a contract that designates the courts of another country as having jurisdiction. Structured as a table, it poses key questions and links to underlying materials that address them. The UK’s departure from the EU has consequences for practitioners handling cross-border matters involving not only EU Member States but also contracting states to the Lugano Convention 2007 and to the Hague Convention on Choice of Court Agreements. Consequently, this Checklist also connects to pertinent Brexit content within the cross-border topic in view, and examines several Brexit-specific cross-border issues. For guidance where Brexit is not in play, see: Cross border...