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This Practice Note outlines the law concerning criminal recklessness. The subjective test for recklessness Certain statutory and common law offences allow the prosecution to prove mens rea through ‘recklessness’. Put simply, recklessness is where the accused takes an unjustified risk that results in unlawful harm or damage. The House of Lords in R v G reaffirmed the subjective approach to recklessness. Before R v G, two distinct tests were used, depending on the offence charged: Subjective recklessness from R v Cunningham: the prosecution had to establish that the accused personally foresaw the risk. Objective recklessness from R v Caldwell: the prosecution only needed to show that the risk would have been obvious to a reasonable person, without proving the accused themselves foresaw it. In R v G, the House of Lords concluded that the objective test could operate unfairly where a defendant did not foresee the
This Practice Note examines the remedy of rescission, explaining when and in what manner a contract can be unwound (at common law, in equity and under statute) and thereby terminated and brought to an end. It covers the consequences and effects of rescission, the principal grounds for setting aside an agreement (misrepresentation, mistake, undue influence, duress, non‑disclosure, fiduciary misdealing and bribery) and the main obstacles to claiming rescission—affirmation, the intervention of third‑party rights and the impossibility of restitution. For further guidance on rescission in the context of misrepresentation, see Practice Note: Misrepresentation—rescission as a remedy. There are many ways in which a contract may reach its end; see: Terminating contracts—how and when a contract ends—overview for a brief and accessible summary, with links to the related further practical guidance, including Practice Note: Termination and expiry of contracts. For a table
What is a res judicata? A res judicata is a determination by a court or tribunal with jurisdiction over the cause of action and the parties, which finally disposes of the issues decided so they cannot be litigated again by those bound, save on appeal. Final judgments entered by default or by consent fall within this concept, whereas rulings on purely procedural points and any decision lacking finality do not. The doctrine’s aim is to bring litigation to an end and shield parties from being harassed by the same dispute twice. in personam—binds the parties and their privies in rem—binds all persons, privy or otherwise (ie a judgment binding the whole world) A party may rely on res judicata: as an estoppel to defeat an opponent’s claim or defence; and/or as the basis of their own claim or
The offence of causing grievous bodily harm with intent Wounding or causing grievous bodily harm (GBH) with intent can be tried solely in the Crown Court on indictment. Elements of the offence Under the Offences against the Person Act 1861 (OATPA 1861), the prosecution must establish that the defendant unlawfully and maliciously: wounded with the intention of causing GBH, or caused GBH with that intention, or wounded intending to resist or prevent the lawful arrest or detention of any person, or caused GBH intending to resist or prevent the lawful arrest or detention of any person ‘Unlawfully’ and ‘maliciously’ Unlawfully The wounding or causing of GBH must be unlawful. Such conduct may be lawful if used: in self-defence in defence of another in defence of property for the prevention of crime where the victim gave express or implied consent For further information on these defences, see below:
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This Practice Note explores how to inspire and oversee direct reports who are not co-located with you. It is typically more challenging to energise and direct people who are working somewhere else. By sharpening your ability to lead at a distance, you also strengthen your capacity to motivate and manage colleagues who sit nearby. These skills travel well across contexts and teams. Motivation Although many believe lawyers are, or should be, self-starters and therefore naturally driven, a team leader worth their salt must determine what stirs each person in the group, rather than rely on blanket assumptions. Assuming that one individual’s motivators will influence another in the same way is a fundamental error. For instance, some in-house lawyers constantly pursue variety and novelty, while others would rather remain within their comfort zone. The first group may need to recognise they cannot hop from one new thing to the...
This Practice Note This Practice Note sets out the obligations under the Money Laundering, Terrorist Financing and Transfer of Funds ( Information on the Payer) Regulations 2017 ( MLR 2017), SI 2017/692, as amended. It likewise draws on sector guidance issued by the Joint Money Laundering Steering Group ( JMLSG) and the Legal Sector Affinity Group ( LSAG) for the legal sector. Clients frequently engage other advisers or liaise with additional relevant parties on the same matter, across different disciplines and firms; for example, in the context of a large transaction they might also retain accountants or tax specialists providing parallel input. They may already be instructing a separate division within your business group. As repeated requests for identical information from multiple advisers and business partners can be frustrating for the client, and frequently unnecessary, the MLR 2017 allow you to place reliance on third...
Your obligations on anti-money laundering ( AML), counter-terrorist financing ( CTF) and counter-proliferation financing are contained in the Proceeds of Crime Act 2002 ( POCA 2002), the Terrorism Act 2000 ( TA 2000), and the Money Laundering, Terrorist Financing and Transfer of Funds ( Information on the Payer) Regulations 2017 ( MLR 2017), SI 2017/692, as amended. Routing ‘dirty’ money through a solicitors’ client account can ‘clean’ it, which means both you and the account may appear attractive to money launderers. You must have systems in place to protect against use of your account in this way. Remember, you must ensure you do not facilitate money laundering, whether or not any funds actually pass through your account. The risks You occupy a position of trust, and your client account can be seen as a mechanism for making criminal funds seem to come from a...
This Practice Note This Practice Note is aimed at law firms regulated by the Solicitors Regulation Authority ( SRA). It sets out practical ways to approach renewal of your professional indemnity insurance ( PII) policy, as your renewal strategy can markedly affect the results you secure, regardless of prevailing insurance market conditions. As firms adapt by expanding business models, adopting new working practices, becoming more agile or pursuing opportunities in other territories, open and effective dialogue helps to limit the chance of unintentionally impacting PII cover. When choosing an insurer, you can factor in your future plans, claim handling requirements and any added value services, and it is sensible to ensure you understand differences in what is offered. This Practice Note gives practical examples of how best to manage your PII renewal. For guidance on the regulatory requirements that apply to PII, see Practice Note:...
The terms in your PII policy may place continuing duties to report specific facts, matters or changes affecting your practice. It is also considered good practice to advise on other issues to help sustain a positive relationship with your insurer. Policy provisions differ, but this Practice Note sets out the essentials and core points. The matters covered here are not exhaustive, and you may prefer to speak with your broker or insurer about particular circumstances or facts. It is crucial to make sure your insurer has a clear understanding of the risk they are underwriting. You should foster a healthy working relationship with your insurer to help them build this picture. Claims or circumstances Your insurance requires you to disclose any claims or potential claims (circumstances) at the earliest opportunity (as soon as possible). Failure to do so may prejudice your cover. Notifying...
This Practice Note is intended for law firms regulated by the SRA This guidance is aimed at law firms regulated by the SRA. All SRA-regulated firms are required to maintain professional indemnity insurance ( PII) in order to practise, and that cover must be arranged with a qualifying insurer. Produced with Miller insurance, this Practice Note outlines the steps you should follow to obtain cover for a new legal practice. If you are creating an SRA-regulated legal practice for the first time, there is a complete range of regulatory obligations to meet, one of which is obtaining PII from an authorised insurer. For more comprehensive detail on PII insurance obligations for SRA-regulated law firms, see Practice Note: Professional indemnity insurance—law firms. It is surprisingly easy to underestimate how vital this process is. PII is commonly one of your largest items of business...
The lawful grounds for processing personal data under UK GDPR An organisation may not handle personal data because it chooses to. It may do so only when one of the bases in Article 6(1) of Assimilated Regulation ( EU) 2016/679, United Kingdom General Data Protection Regulation ( UK GDPR), is met. These are often described as the ‘lawful grounds’, ‘legitimate grounds’ or ‘conditions’ for processing. Processing personal data without a lawful basis breaches the UK GDPR. Non-compliance can cause significant reputational harm, claims from affected data subjects, and fines up to £17.5m or up to 4% of total worldwide annual turnover. Under the UK GDPR, there are seven potentially lawful grounds for processing personal data: the data subject has provided consent for their personal data to be processed for one or more specific purposes—see below:...
The Money Laundering, Terrorist Financing and Transfer of Funds ( Information on the Payer) Regulations 2017 ( MLR 2017) The amended Money Laundering, Terrorist Financing and Transfer of Funds ( Information on the Payer) Regulations 2017 ( MLR 2017), SI 2017/692, set out which professional bodies are tasked with AML supervision. The Law Society is designated as supervisor for solicitors and law firms in England and Wales, but it delegates regulatory functions to the Solicitors Regulation Authority ( SRA). As a result, the SRA is accountable for ensuring the solicitors and firms it oversees comply with the MLR 2017. In October 2025, the government announced that the Financial Conduct Authority ( FCA) will become the single professional services supervisor for AML and counter-terrorist financing ( CTF)—see News Analysis: FCA to take reins of AML regulation from SRA. This change is contingent on enabling...
The Money Laundering, Terrorist Financing and Transfer of Funds ( Information on the Payer) Regulations 2017 ( MLR 2017), SI 2017/692, constitute part of the UK’s wider anti-money laundering ( AML), counter-terrorist financing ( CTF) and counter-proliferation financing framework. The MLR 2017 impose administrative obligations that sit alongside the criminal law aspects of the AML, CTF and counter-proliferation financing regime set out in the Proceeds of Crime Act 2002 ( POCA 2002), the Terrorism Act 2000 ( TA 2000) and assorted sanctions measures. There is some crossover with this legislation. The MLR 2017 have been revised multiple times since coming into effect in June 2017. This Practice Note reflects the MLR 2017 as amended. For more on POCA 2002, TA 2000 and counter-proliferation financing, see Practice Notes: Proceeds of Crime Act 2002—key information for law firms,...
Issues of confidentiality arise in two different respects in terms of suspicious activity reports ( SARs): your duty of confidentiality to the client the confidentiality of the SAR itself This Practice Note addresses both dimensions and provides guidance that is of broad application. Do also verify whether the law or your regulatory body imposes any additional, sector‑specific expectations regarding confidentiality in your area. Counter‑proliferation financing is the newest strand within the long‑standing anti‑money laundering ( AML) and counter‑terrorist financing ( CTF) framework. Obligations concerning counter‑proliferation financing were brought into the Money Laundering, Terrorist Financing and Transfer of Funds ( Information on the Payer) Regulations 2017 ( MLR 2017), SI 2017/692 by the Money Laundering and Terrorist Financing ( Amendment) ( No. 2) Regulations 2022, SI 2022/860. Although the...
Under the Proceeds of Crime Act 2002 ( POCA 2002) and the Terrorism Act 2000 ( TA 2000), anyone with knowledge or suspicion of money laundering or terrorist financing must notify the National Crime Agency ( NCA) through a Suspicious Activity Report ( SAR). Failure to report can attract serious criminal penalties. A SAR may take either of the following forms: an internal SAR to the firm’s nominated officer, or an external SAR to the NCA This Practice Note offers practical direction for the nominated officer on submitting an external SAR to the NCA and on obtaining a defence to proceed with a prohibited act (that is, to continue with a matter you know or suspect involves money laundering or terrorist financing). For fuller detail on the legal framework governing the SARs regime, see Practice Note: Reporting suspicions of money...
International financial sanctions lists This Practice Note presents a table of international financial sanctions registers, providing links to the relevant lists and, where available, the regulatory authorities accountable for them. Including Multinational United Nations — United Nations Security Council Consolidated List: Persons and entities; Embargoed countries World Bank — World Bank Listing of Ineligible Firms and Individuals: Persons and entities EU Sanctions — European Council EU Sanctions Map: Persons and entities; Embargoed countries; Special measures ( Russia) Argentina Superintendencia de Seguros de la Nación ( SSN) — Superintendencia de Seguros de la Nación Liquidación: Persons and entities; Embargoed countries Comisión Nacional de Valores —...
Completing a Professional Indemnity Insurance ( PII) proposal form is a time‑consuming exercise and demands assembling a large volume of information about your practice. On its own, though, it may not give you an adequate platform to present your firm to the market. Considering that PII often ranks among your largest single expenses, there are times when producing a compelling presentation for insurers more than repays the time invested. This Practice Note explores whether you should include a risk management submission within your renewal presentation and its likely contents. Should you include a risk management submission? You should consider adding a risk management submission to your renewal if your practice: has a poor or below‑average claims record (by number and/or value of claims) has recently completed, or is about to undertake, a restructure or merger has seen a recent shift in risk...
Assimilated law Assimilated law describes retained EU law that continues to apply after the close of 2023. For more detail, see Practice Note: Assimilated law. This Practice Note offers guidance on the rights of data subjects in the employment setting. It reflects the UK GDPR framework, and statutory references are to Assimilated Regulation ( EU) 2016/679, the UK General Data Protection Regulation ( UK GDPR) and the Data Protection Act 2018 ( DPA 2018), unless stated otherwise. It also accounts for provisions of the Data ( Use and Access) Act 2025 ( DUAA 2025) in force as at 5 February 2026 (see Practice Note: Data ( Use and Access) Act 2025—employment implications). Updated guidance from the Information Commissioner’s Office ( ICO) is awaited. For an overview of key themes in the Assimilated Regulation ( EU) 2016/679, UK GDPR and DPA 2018, and for...
This Practice Note sets out advice for law firms on responding to client account fraud and outlines the applicable legal and regulatory duties. Client funds are inviolable and their careful stewardship is essential and paramount. What is client account fraud? A firm suffers client account fraud where money is unlawfully taken from its client account. Immediate steps to take Act swiftly to limit harm in the immediate aftermath of client account fraud. Do everything possible to prevent further loss and disruption promptly. Form a fraud response team and appoint someone to lead the incident without delay; suitable choices include: the compliance officer for finance and administration ( COFA) the finance director the compliance officer for legal practice ( COLP) the nominated officer the senior partner another appropriately senior person within the firm The SRA warning notice, Money missing from client account, states that if you...
When you are asked to produce a business case, you should already understand its purpose, the reason you are compiling it, and precisely what you intend to secure once your organisation signs it off. You might, for instance, wish to roll out a new practice management tool for the legal team and therefore require suitable financial investment and organisational backing, or funding for another need. Even if the objective is plain, you may overlook key considerations to embed before submission to strengthen approval prospects. the case’s purpose why you are preparing it what you seek upon approval The importance of being able to prepare a business case Speak to a cross‑section of lawyers and many will admit they have never reviewed a business case, let alone drafted one themselves; after all, what would prompt them to write one? The legal...
This Practice Note sets out UK sanctions frameworks, covering regimes established under the Sanctions and Anti- Money Laundering Act 2018, the Anti- Terrorism, Crime and Security Act 2001 ( ACSA 2001), and the Export Control Order 2008 ( SI 2008/3231). Where relevant, it highlights the equivalent EU sanctions regime and points to useful further reading for each UK regime. It does not include details of designations within individual regimes. If an individual, organisation or other legal entity is designated under a UK sanctions regime (a designated person), their name appears on the UK Sanctions List ( UKSL). The UKSL assists businesses and individuals in fulfilling their responsibilities under the various regimes, and regular screening of the UKSL should be embedded in an internal sanctions compliance programme. A sanctions regime is a set of sanctions measures introduced for particular purposes. Regimes can be: ...
You are not required to act like the police, but you must stay vigilant for indicators of bribery and corruption and make the kinds of enquiries a reasonable person with your qualifications, knowledge and experience would undertake. This Practice Note highlights common warning signs that typically warrant further enquiry. It draws on examples from the Wolfsberg Anti‑ Bribery and Corruption ( ABC) Compliance Programme Guidance and the International Foreign Bribery Taskforce ( IFBT). These factors are not conclusive evidence; they are simply red flags. Give close attention where multiple indicators appear. Such signals can arise during a range of activities, including intermediary engagement, business acquisition or day‑to‑day operations, as well as gifts and entertainment, charitable contributions, and related areas. General There has been a shift in the behaviour of employees, intermediaries or business partners, for example: an...
Client and matter inception Client and matter inception is a key step in safeguarding your firm, understanding your client and their expectations, and meeting various regulatory duties. When you are engaging a new client, inception runs in two parts: Stage 1—client inception Stage 2—matter inception In practice, you will often complete both elements simultaneously. For guidance on the first part, client inception, see Practice Note: Client inception—law firms. Where you are opening a new matter for an existing client, stage 1 will typically have been done already, so you can focus on stage 2—see section: Should you repeat the client-based checks? This Practice Note explains what is required for matter inception and outlines the processes to follow when opening a new matter......
This Practice Note looks at compliance planning for law firms. It sets out whether a firm ought to have a compliance plan and, if so, what you might wish to cover. It is aligned with the Solicitors Regulation Authority ( SRA) Standards and Regulations. See also Precedent: Compliance plan—law firms. Is a compliance plan compulsory? Firms that hold, or are seeking, Lexcel accreditation must maintain a risk management policy that incorporates a compliance plan. By contrast, the SRA Standards and Regulations do not expressly require firms to have a compliance plan. This differs from the previous SRA regime, under which the SRA plainly anticipated firms would maintain such a plan; guidance to the SRA Authorisation Rules 2011 noted that what a firm’s plan should cover would depend on factors including the firm’s size and character, its work, and its risk profile. That position has not been...
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When evaluating a general damages claim, the practitioner ought initially to refer to the Judicial College Guidelines (JCG)...
This Practice Note This Practice Note reviews mechanisms used in settling litigation. A Tomlin order consists of a consent order paired with a schedule. It operates to stay proceedings on terms that have been agreed. The provisions contained in the schedule may remain confidential. This Practice Note describes the scope of confidentiality attaching to the schedule and sets out how it differs from a standard consent order. Sample wording for a Tomlin order is included, alongside links to precedents, as well as guidance on court approval. It also addresses varying, setting aside and enforcing a Tomlin order, including the considerations the court will take into account when handling applications for each. Further guidance is provided on interpreting and applying the relevant provisions of the CPR; however, some courts and divisions impose very specific requirements for both drafting and approval, and for approaching the schedule and confidentiality issues. Accordingly, you must consider the particular rules and court guide provisions in the forum where your claim is proceeding when drawing up the Tomlin order...
Date [ date ] Parties [ name of Landlord ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Landlord) [ name of Tenant ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Tenant) [ [ name of Guarantor ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Guarantor) ] [ [ name of Mortgagee ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Mortgagee) ] Definitions Within this Deed, the terms below shall be interpreted as follows: [ Annual Rent • the annual sum reserved under the Lease; ] [ Insurance Rent • the Tenant’s share of the Landlord’s costs of insuring the Property (as set out in the Lease); ] Lease • the lease of the Property dated [ date ], entered into between (1) [ the Landlord OR [ name ...
I, [ name ], of [ address ], solemnly and sincerely state that: [ Matters to be verified, set out in numbered paragraphs ] I make this solemn statement in good conscience, believing it to be true, and pursuant to the provisions of the Statutory Declarations Act 1835. DECLARED at [ details ] this [ day ] day of [ month and year ] Before me ................................................................................ [ signature of the person before whom the declaration is made ] A [ commissioner for oaths OR [ solicitor OR [ insert other qualification ] ] authorised to administer oaths ]...
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