Legal Checklists

Remote signing of documents has become increasingly common in practice. This Checklist of resources outlines key points to consider when documents are executed remotely and the parties cannot meet face to face due to circumstances. Key commercial resources We have assembled a comprehensive, interactive collection to assist users in spotting and navigating the concepts and recurring issues around document execution, with coverage of remote execution. Each stage or section offers practical guidance, precedent clauses and Q& As tailored to that part. For more information and access, see: Execution collection. This Checklist addresses remote execution solely from a general commercial standpoint and proceeds on the basis that the agreements are governed by English law. For broad, general information and guidance on execution, see: Execution—overview. For more detailed direction on execution requirements in other Practice Areas, please consult that Practice Area’s content......

Checklist on remotely accessed mediations This Checklist outlines the principal points to weigh when deciding if, and in what manner, to take part in a remotely accessed mediation by video conference ( VC). With the emergence of the coronavirus ( COVID-19) pandemic, use of such mediations expanded, ie, mediations conducted online via VC became noticeably more common. VC mediations—often called ‘online mediation’, ‘remote mediation’ or ‘remotely accessed mediation’—are not the sole option for non face-to-face engagement; mediation can also proceed by telephone. Even so, the simplicity and enhanced user features of the many VC platforms have proved well suited to the process for remote access mediation in practice. For guidance on the parties’ duties to consider alternative dispute resolution ( ADR), and the courts’ authority to order or promote consideration of ADR, both before and during litigation, see Practice Notes: Court powers to order or...

ARCHIVED: This Practice Note is archived and is no longer maintained. Amid concerns about potential consumer harm in the pre-paid funeral plan market, HM Treasury launched a call for evidence on sector regulation in June 2018. Responses indicated that detriment was occurring and that mandatory regulation was required. After evaluating various options, including establishing a new statutory regulator, the UK government concluded that extending Financial Conduct Authority ( FCA) oversight to all funeral plan providers was the most effective and proportionate way to strengthen market regulation. On 1 June 2019, HM Treasury opened a consultation to gather stakeholder views on proposed legislative changes to bring every funeral plan provider within the FCA’s jurisdiction. The government issued its consultation response in March 2020, confirming its final policy to amend the regulatory framework accordingly. It should be noted that, under article 59(1) of the Financial Services and...

Regulated activities and exclusions Section 19 of the Financial Services and Markets Act 2000 ( FSMA 2000) bars any individual or entity from undertaking, or holding themselves out as undertaking, a regulated activity in the UK unless they are authorised or exempt under FSMA 2000 (the General Prohibition). Usefully, most activities specified in the Financial Services and Markets Act 2000 ( Regulated Activities) Order 2001, SI 2001/544 ( RAO) are carved out by exclusions. Where you conduct a given activity in a manner that fits an exclusion, you will not contravene the General Prohibition. For additional detail on the General Prohibition, see Practice Notes The general prohibition and implications of its breach and Carrying on unauthorised business and breaching the general prohibition. Most RAO regulated activities are subject to exclusions that can be used where applicable. Exclusions fall into two...

Use this Checklist when filing charges at Companies House where a UK company or a Limited Liability Partnership ( LLP) created the charge on or after 6 April 2013, and also read it alongside Practice Notes: How to register security at Companies House and Registering security at Companies House. For the purposes of Part 25 of the Companies Act 2006 ( CA 2006) on Company Charges, a 'charge' also covers a mortgage. Accordingly, references to a 'charge' in this Checklist should be understood to include a mortgage. Checklist The fourth column can be used to record observations or comments while progressing through the Checklist, capturing any points as the Checklist is worked through......

This checklist is intended to support you when applying for entry as a registered foreign lawyer ( RFL), or when your firm is engaging with an RFL in practice. Please consider it carefully in conjunction with the Practice Note: Working with foreign lawyers—the registered foreign lawyer ( RFL) regime. A: Determining whether a lawyer can become a registered foreign lawyer If all of the questions below are answered ‘yes’, it should be feasible for a lawyer to submit an application for registration as an RFL without difficulty. Screening question Answer/ Comment Is the individual a foreign lawyer? A foreign lawyer is an individual who is not a solicitor or barrister of England and Wales, yet is a member of a legal profession that is regulated in a jurisdiction beyond England and Wales, and is entitled to practise as such within that...

Intended for law firms This resource is aimed at law firms. It is designed to help you assess whether your systems are sufficient to comply with applicable regulatory and legislative obligations concerning referral and fee sharing arrangements. It reflects the SRA regulatory regime and the Legal Aid, Sentencing and Punishment of Offenders Act 2012. The SRA Standards and Regulations are supported by case studies and guidance presented in a range of formats, such as Q& As, warning notices, decision trees and ‘topic guidance’. See Practice Notes: Referral and fee sharing arrangements and Personal injury referrals— SRA examples, flowchart and guidance. This resource addresses situations where a third party refers clients to you and/or you enter into a fee sharing agreement with a third party. For situations where you introduce clients to third parties, see subtopic: Introductions to third parties. For guidance on what amounts to a...

Checklist This checklist sets out the actions required for individual redundancy consultation, irrespective of whether consultation has also occurred at a collective level. It highlights the practical planning points for a redundancy exercise and indicates the matters to address at each stage... Open meetings with affected employees – topics to cover Letters to affected employees – required inclusions Individual consultation meetings – key discussion points Notice of dismissal – content to include Right of appeal – information to provide For broader guidance on individual redundancy consultation duties, see Practice Notes: Redundancy—fair procedure: individual consultation and How to carry out individual redundancy consultation. This checklist proceeds on the basis that the employer has already determined whether collective consultation is needed (see Checklist: Redundancy—collective consultation checklist for employers— Identify redundancy situation)......

This Checklist explains the actions to take in collective consultation in relation to proposed redundancies. It highlights practical points for deciding whether a redundancy situation exists, whether collective consultation duties are triggered, how to set an appropriate timetable for the process, and the duty to notify the Secretary of State of proposed redundancy dismissals. For broader guidance on collective redundancy consultation obligations, see Practice Notes: Redundancy—fair procedure: collective consultation and How to carry out collective redundancy consultation. The guidance in this Practice Note reflects the Acas non-statutory advisory booklet entitled This booklet has been archived and is no longer maintained by Acas. Identify redundancy situation The Acas non-statutory guidance advises that, before commencing a redundancy programme, an employer should examine all possibilities to reduce or avoid redundancies—that is, consider alternatives to compulsory redundancy, such as: adjusting working hours reducing the number of...

Claimant Claimant's history Has the claimant previously pursued personal injury claims? This can be verified via the Claims Underwriting Exchange ( CUE) database, which records all claims that have been lodged with an insurer. Nature of the injuries Do the reported injuries align with, and are they proportionate to, the overall seriousness of the collision event? High occupancy A crowded vehicle (ie several passengers) does not, by itself, prove fraud, yet it may still be relevant where an accident is alleged to have been engineered or staged. No reason to stop Where the defendant maintains the claimant’s car braked without cause, this may potentially point to a set-up incident. Late reported claim Although claimants ordinarily have three full years to bring a claim, when a claim reaches an insurer more than six months after the accident date, without any credible reason at all (eg a prolonged hospital stay, or the...

Introduction The questions below illustrate items for a specific competency set and aim to draw out relevant behavioural evidence to gauge competency level. They are purposefully more precise than the usual open, behavioural questions such as, ‘ Tell me about a time when you...’ or ‘ Can you provide an example...?’ This is intentional. Their role is to zero in on information tied to the competency definition and the management of outcomes, while still acting as cues to investigate behavioural evidence. Without this level of targeting, there is a chance the interviewer will fail to gather information that is sufficiently specific to enable a fair judgement. Strategy delivery General Describe a recent strategic planning exercise you took part in. What was your role? Outline the specifics. And what about earlier planning efforts? OR How have you reviewed your business, current and emerging trends, and set...

Introduction The following questions exemplify items for a specific set of competencies and are intended to draw out relevant behavioural evidence used to determine the level of competency. Compared with the more traditional 'open-ended, behavioural competency' prompts, for example: ' Describe a time when you...' or ' Could you provide an example when...?', these questions are narrower and more targeted. This approach is entirely deliberate by design......

This Practice Note draws on the information and guidance that are currently available to date, and will be revised to reflect the new ICO guidance once it has been finalised. Responsibility for recruitment If the employer lacks a dedicated personnel or HR team within the organisation: who will oversee and manage the recruitment process, and who will participate at the different stages of selection? are they fully familiar with the principles of sound recruitment practice, in particular concerning discrimination and other prohibited conduct under the Equality Act 2010, and with data protection under Assimilated Regulation ( EU) 2016/679, UK GDPR and DPA 2018, or do they require training? Ensure intended HR staff, line managers and supervisors who will be involved in the...

This Checklist highlights the principal points to address when arranging payment or seeking the recovery of retention monies. It proceeds on the assumption that the contract falls within the HGCRA 1996 and focuses mainly on employer–contractor retention monies, though the same considerations extend to contractor–sub‑contractor retention monies as well. Refer to Practice Note: Retention of payment in construction contracts for a fuller explanation of retention, when it is usually paid, and the way retention is dealt with under JCT and NEC contracts, including typical timing and treatment. What does the building contract say? At the outset, scrutinise the contract’s retention provisions and clauses surrounding retention in detail. The usual pattern is a two‑stage release: the first 50% falls due on practical completion of the works, with the balance payable after any notified defects during the defects period have been remedied. This split release...

This checklist outlines the main points to address when representing either the relevant lender or the borrower in a real estate finance deal. It proceeds on the basis that any such property acquired and/or developed is situated within England or Wales. Principal issues include: verifying that the documents supplied by the seller of the property are adequate and sufficient to secure good title and to effect registration of the property checking that all parties possess the capacity and authority to enter into the transaction assessing whether the transaction involves any bodies incorporated or constituted overseas that intend to buy, sell or otherwise deal with the property. See Practice Note: The register of overseas entities and its impact on loan transactions ( Economic Crime ( Transparency and Enforcement) Act 2022), and evaluating whether the transaction involves the proposed development of a property and, in particular, whether it includes a...

This Checklist outlines the matters to weigh up and assess when preparing real burdens and title conditions in dispositions in Scotland. It looks in particular at real burdens concerning restrictions on use, alterations and works, as well as personal real burdens. For detail on the nature of real burdens and how they are created and construed, see Practice Note: Real burdens in Scotland—creation and interpretation. For real burdens addressing maintenance duties, see Practice Note: Real burdens dealing with maintenance obligations in Scotland. In this Checklist, the land affected by the burden is called the ‘burdened property’ and the land that enjoys the burden is the ‘benefitted property’. Drafting considerations When preparing a disposition, first ask whether imposing real burdens is required. It might be adequate simply to depend on: common law, e.g. the common laws regarding...

R& D agreements—drafting for the EU R& D BER 2023—checklist This Checklist outlines the key issues to address when preparing new Research and Development ( R& D) agreements, or revising current R& D arrangements, to determine whether they fall within the EU R& D BER 2023 ( Commission Regulation ( EU) 2023/1066 on the application of Article 101(3) of the Treaty on the Functioning of the European Union ( TFEU) to specific categories of research and development agreements). It is not a detailed manual on the EU R& D BER 2023; rather, it is a practical tool for commercial lawyers aiming to confirm that an R& D agreement sits within the EU R& D BER 2023 and the accompanying Horizontal Guidelines. Introduction to the EU R& D BER 2023 Any arrangement that impacts trade or restricts competition in the EU may fall under the ban on...

This Checklist summarises the strategic considerations which should be assessed when an organisation is subject to a raid by the police or other regulatory enforcement body. Remain composed and courteous; ask for a copy of the warrant relied upon by the investigators to enter the premises. Invite the investigators to wait in a boardroom instead of reception, if one is available. Examine the warrant or authorisation thoroughly, confirming its objective and scope, the individuals expressly permitted to conduct the search, the precise premises in question, and the date on which execution is permitted. It must bear a signature and date. Deny entry to any person not identified on the warrant......

This Checklist offers a series of prompts that may help in assessing the tax consequences of an asset sale. It should be read together with Practice Note: Key tax considerations in an asset sale. For further detail on pre-contract enquiries, see also Practice Notes: Capital allowances on property sales—pre-contract enquiries and Commercial Property Standard Enquiries— CPSE (the CPSEs, compiled by members of the London Property Support Lawyers Group and endorsed by the British Property Federation, set out standard questions relevant to a sale of commercial real estate)... Key tax considerations in an asset sale General questions What is the status of the parties: companies, individuals or other entities, for example a partnership, trust or charity? Are there multiple sellers? Are there multiple buyers? Does the seller hold both legal and beneficial ownership of the assets? On actual...

This checklist outlines matters a potential buyer (and its advisers) ought to weigh up when acquiring the share capital or business assets of a firm authorised by the Financial Conduct Authority ( FCA) or the Prudential Regulation Authority ( PRA) under the Financial Services and Markets Act 2000 ( FSMA 2000), or authorised or registered by the FCA under the Payment Services Regulations 2017, SI 2017/752 ( PSRs 2017). It is designed to help purchasers compile a due diligence questionnaire and to flag other central elements of the transaction. It is not exhaustive and additional considerations may arise. Due diligence Authorisations and licences Review the Financial Services Register for the target’s FCA or PRA authorisation under FSMA 2000 and the scope of permissions attached to that authorisation, or for FCA authorisation or registration under the PSRs 2017; also confirm the...