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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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Why you need to manage this risk The G20/ OECD Principles of Corporate Governance state that effective governance depends upon a reliable legal, regulatory and institutional architecture that market actors can trust when forming their private contractual arrangements. In the UK, multiple corporate governance frameworks exist, differing in strength and tailored to distinct business types. Some classes of company must adhere to specified frameworks or codes, whereas others elect to follow them voluntarily. Under the Companies Act 2006 ( CA 2006), directors of UK companies hold statutory obligations, and these duties are also receiving growing attention within the range of corporate governance codes in domestic use. This growing emphasis is reflected across the various codes currently in wide operation within the UK market today. A host of further laws may scrutinise or call into question an organisation’s governance, such as health and safety...
Solicitors must consider the mental capacity of their clients in everything they do The assessment of capacity arises when: there is doubt whether an individual can decide, covering matters from marriage to consenting to or declining medical treatment to making a Will capacity might influence a proposed transaction and those directly or indirectly affected it is necessary to think about third-party participation in decision-making Every person has the right to choose, even if others see that choice as mistaken or unconventional. Generally, there is no need to intrude upon that process. Yet, while upholding personal autonomy, English law has long accepted that some people lack the mental capacity to bear responsibility for their choices. Traditionally, capacity law was drawn from various judicial authorities and legislation, including the Enduring Powers of Attorney Act 1985 and the Mental Health Act 1983......
This Practice Note outlines the UK’s financial and trade sanctions framework created by the Sanctions and Anti- Money Laundering Act 2018 ( SAMLA 2018). Introduced to provide a resilient domestic system after Brexit, it allows the UK to impose a comprehensive range of sanctions to meet UN sanctions obligations, including: financial sanctions director disqualification sanctions immigration sanctions trade sanctions aircraft sanctions shipping sanctions other sanctions What is the background to the UK’s domestic sanctions regime? ‘ Sanctions’ describes a set of tools intended to create adverse effects for foreign states or designated persons (individuals or corporate entities) for specified aims—most often foreign policy, and sometimes counter-terrorism. These measures place prohibitions and obligations not only on the targets themselves, but also on third parties who trade with, or otherwise deal with, them. For detailed guidance, see Practice Note:...
Lexcel is the Law Society’s benchmark for practice management. Accreditation is not mandatory, though Lexcel status can assist firms seeking accreditation under the Conveyancing Quality Scheme ( CQS) or the Legal Services Board’s Specialist Quality Mark ( SQM). This Practice Note highlights specific Precedents you may use or tailor, where appropriate and necessary, to meet the requirements of Lexcel v6.1. 1. Structure and strategy For detailed requirements, see: Lexcel practice management standard version 6.1......
This Practice Note outlines the Office of Financial Sanctions Implementation ( OFSI) General Licences concerning the delivery of legal services. It also includes a concise overview of the General Trade Licence, made under regulation 65 of the Russia Regulations and published by the Export Control Joint Unit ( ECJU), which applied from 11 August 2023 to 6 September 2024, covering the provision of certain legal advisory services otherwise barred by the Russia Regulations. From 6 September 2024, narrow carve-outs from the ban on supplying legal advisory services are now embedded directly within the Russia Regulations, SI 2019/855, reg 60DB, rather than certain matters being dealt with by way of licensing. The General Trade Licence has therefore been revoked—see: DBT General Trade Licence ( Russia Sanctions— Legal Advisory Services). OFSI Legal Services General Licence Since October 2022, OFSI has released a succession of General Licences under the...
Part 1 of the Transparency of Lobbying, Non- Party Campaigning and Trade Union Administration Act 2014 ( TLNPCTUAA 2014) governs consultant lobbying, namely the business of putting clients’ representations to government. Consultant lobbyists must be entered on the Office of the Registrar of Consultant Lobbyists ( ORCL) register and name their clients on the register kept by the Registrar. They must also indicate whether they follow a publicly available code of conduct. Most firms will not be affected, but you should not assume the legislation has no relevance to you. Guidance from ORCL ( ORCL guidance) plainly envisages that law firms can be brought within the lobbying regime. For more detail, see Practice Note: Lobbying and law firms, which also sets out the registration procedure and the duty to file quarterly information returns. This Practice Note describes which kinds of activity amount to...
Section 54(5) of the Modern Slavery Act ( MSA 2015) Under section 54(5) of the Modern Slavery Act ( MSA 2015), there are six types of particulars that can be set out in an organisation’s transparency in supply chains ( TISC) statement on slavery and human trafficking. One of these concerns information on the organisation’s effectiveness in ensuring slavery and human trafficking do not occur within its business or supply chains, assessed against performance indicators it considers appropriate. Statutory guidance to section 54 on the TISC provisions highlights two main ways key performance indicators ( KPIs) are relevant: your TISC statement may include evidence showing you have evaluated whether your business KPIs might cause, contribute to, or result in modern slavery within your operations and supply chains you can establish outcome‑focused KPIs to measure year‑on‑year progress towards your business aims for...
From a commercial standpoint, it is sensible and prudent for your firm to try to limit the scope of its liability to clients. Nevertheless, there are legal and regulatory hurdles to navigate and constraints on what any liability cap can realistically deliver. For consumer clients, you must take into account not only SRA requirements and guidance, but also the statutory constraints and limits in the Consumer Rights Act 2015 ( CRA 2015). SRA restrictions You must not exclude, or attempt to exclude, liability below the minimum level of cover required by the SRA Indemnity Insurance Rules. This is: £3m for firms that are corporate entities (including LLPs) £2m for partnerships and sole practitioners (excluding LLPs) SRA guidance You should also have regard to guidance issued by the SRA. That guidance concerns the requirement to take out and maintain adequate and appropriate insurance under the SRA...
The ( LSB) is the sole independent oversight regulator of the legal profession and sector in England and Wales. It does not directly regulate individual lawyers and, in most circumstances, will not directly regulate firms. Mandate and structure The LSB acts as the overarching regulator for legal services in England and Wales. Created by the Legal Services Act 2007 ( LSA 2007), it has been fully operational since January 2010. It is independent of government and of the legal profession, although it is funded by the profession via a levy on secondary regulators such as the Solicitors Regulation Authority ( SRA). The LSB must include a lay chairman, a chief executive, and seven to ten ordinary members. A majority of the ordinary members are required to be lay persons. Its primary mandate is to ensure that regulation across the legal services sector serves the public interest and puts...
Under the UK GDPR Certain firms must name an individual to serve as their data protection officer ( DPO). This Practice Note explains when a DPO is mandatory to meet UK GDPR requirements, and weighs the benefits and drawbacks of appointing a DPO on a voluntary basis. It also considers who should act as the firm’s DPO, the DPO’s responsibilities, and the risk of conflicts of interest. It should be read alongside the DPO appointment decision tree. For further detail on accountability and governance under the UK GDPR, see Practice Note: The UK General Data Protection Regulation ( UK GDPR)— Accountability and governance. This Practice Note is grounded in the UK GDPR and the following guidance: Information Commissioner’s Office ( ICO) guidance: UK GDPR guidance and resources, Accountability and governance, Data protection officers Guidelines on DPOs issued by the Article 29 Data...
This Practice Note outlines how far an employer may probe a candidate about past convictions and cautions, and when checks with the Disclosure and Barring Service ( DBS) can be undertaken. Employers might seek confirmation of a criminal record because: it bears on the individual’s integrity and fit for the role, or the detail is needed to satisfy regulatory requirements Details can be obtained by questioning the applicant or by requesting DBS searches. Key principles As a rule, employers are not entitled to unrestricted disclosure of all historic convictions and cautions. Under the Rehabilitation of Offenders Act 1974 ( ROA 1974), convictions and cautions may become spent and the person is treated as ‘rehabilitated’ once the rehabilitation period ends—see: Spent convictions and Effect of rehabilitation below. However: some sentences never become spent—see: Excluded sentences (never spent) below, and there are...
The Law Society’s Conveyancing Quality Scheme ( CQS) is the recognised benchmark for residential conveyancing firms. Per the Law Society, attaining membership gives participating practices a demonstrable level of credibility with key stakeholders, including regulators, lenders, insurers and consumers. This Practice Note highlights particular Precedents you can adopt or adapt to satisfy discrete CQS obligations. Section 1. Structure and strategy For detailed requirements, see: CQS Core Practice Management Standards. Management structure Refer to Precedents: Financial management policy—law firms Governance arrangements—law firms, which is designed to align with a governance structure chart: Solo governance and supervision structure chart Sole practitioner governance and supervision structure chart Non-departmentalised partnership governance and supervision structure chart Departmentalised partnership governance and supervision structure chart Corporate structure governance and supervision structure chart ...
Politically exposed person ( PEP) status Individuals who have, or have held, political standing, or who occupy, or have occupied, public office, can present an elevated money laundering risk to firms because their role may leave them vulnerable and exposed to corruption. This exposure also covers their immediate family members and known close associates. While holding politically exposed person ( PEP) status does not, of course, implicate people or organisations, it does place the client or beneficial owner within a higher risk bracket. You must carry out enhanced due diligence ( EDD) steps and enhanced ongoing monitoring where you conclude that the client or prospective client is a PEP, or a relative or known close associate of a PEP. When this threshold is met, undertaking EDD is compulsory, though you may adopt a risk-based approach when deciding the type and breadth of EDD...
Electronic signatures This Practice Note sets out the legal position on electronic signatures—also called digital signatures, e‑signatures, E‑ Signatures, e Signatures, paperless signing or electronic document signing. It explains the categories of electronic signature and the technology used to generate digital signatures, including public key infrastructure ( PKI). It reviews key UK legislation such as the Electronic Communications Act 2000 ( ECA 2000) and the UK e IDAS Regulation, and outlines best practice for executing documents by electronic means. An electronic signature functions as the digital counterpart to a handwritten signature, connecting an individual with the contents of an electronic document. The Note focuses on the general law in England and Wales for commercial contracts in a business‑to‑business context. Readers should be aware that particular transactions may present distinct issues, for example due to laws applicable to consumers. For practical guidance on signing when one or more...
Safeguarding confidential information is a cornerstone of the solicitor–client relationship and a central and enduring professional principle. Solicitors are also under a duty to disclose to their clients any information they know that is material to the client’s matter. There are only limited exceptions to both obligations. These obligations can collide; for example, you may simultaneously owe client A confidentiality while owing client B a duty of disclosure regarding the very same information. Under the SRA Codes of Conduct, you must not act for a client where that client’s interests are adverse to those of another client for whom you hold confidential information that is material to the matter, unless you have: informed consent from the client to your acting, together with any measures adopted to protect the information, or effective safeguards in place so there is no real risk that the...
This Practice Note This Practice Note is aimed at law firms. It outlines the essential information obligations in the SRA Standards and Regulations that relate to client care letters and terms of business, alongside relevant SRA and Law Society guidance. It also consolidates key requirements drawn from regulation outside the legal sector, eg on cancellation rights or data protection. It explains when the information must be given and in what format. There is little that the SRA expressly obliges you to set out in writing at the start of a matter, ie within your client care letter or terms of business. Indeed, there is no regulatory rule that you must have a client care letter or a terms of business document. Nonetheless, the SRA evidently expects firms to issue a client care letter, having produced Guidance on client care letters, which this Practice Note...
Updated in October 2025 Introduction Brazil ranks fifth globally by land area (3,287,956 sq mi) and seventh by population (a little over 213,000,000). With a US$2.12trn economy, as projected by the International Monetary Fund for 2025, it places tenth worldwide by nominal GDP. As South America’s largest state and a leading participant in BRICS and the G20, Brazil occupies a pivotal position in the international economy. Its corporate landscape is constantly evolving, influenced by shifts in domestic policy, worldwide macroeconomic tides, and a sustained drive to build a more favourable setting for investment. Grasping these layered dynamics is essential to succeed, and this paper seeks to arm readers with the core understanding needed to approach the market with confidence, acknowledging both its core advantages and current hurdles. As a fast-moving emerging market, Brazil continues to draw strong global interest for its expansion prospects and...
Commissions Commissions amount to offering a financial benefit to another. They are not invariably bribes. Typically, a commission arises when a seller or buyer provides a benefit to a third party or fiduciary for arranging or mediating the supply of goods or services, or otherwise assisting with a transaction for goods or services. While normal in many industries and accepted practice, an anticipated advantage can create a tangible risk that functions are performed improperly. A commission can also be a facilitation payment, paid to secure the performance (or swifter performance) of an obligation already owed (see Practice Note: Facilitation payments under the Bribery Act 2010). Where a commission is a facilitation payment, it is unlawful. The Serious Fraud Office ( SFO) has indicated it will bring proceedings where the Code for Crown Prosecutors, Full Code Test is satisfied; namely, there is a...
Consideration of electronic data interchange ( EDI) frameworks, blockchain, smart contracts, or sector‑specific legislation or regulation, including regimes for financial services, intermediation services, or online auctions, falls outside the scope of this Practice Note. For a primer on EDI and smart contracts, see Practice Notes: Business to business e‑commerce—introduction and Smart legal contracts. For blockchain guidance, refer to Blockchain—overview and Practice Note: Blockchain—key legal and regulatory issues. The type and functionality of the website A website’s compliance obligations and the rules that apply will vary according to the kind of site in question and its intended functionality or aim and audience. As an initial step, the site operator should determine, early on, the nature of the proposed site and the planned extent of its functionality. For example, consider the following questions: will the site be an ‘information only’ destination? will it operate as a...
This Practice Note outlines counter-proliferation financing ( CPF). It highlights regulatory duties and explores the risks linked to proliferation financing. It is directed at businesses within scope of the Money Laundering, Terrorist Financing and Transfer of Funds ( Information on the Payer) Regulations 2017 ( MLR 2017), SI 2017/692—see Practice Note: Money Laundering Regulations 2017—scope and application, and for law firms Money Laundering Regulations 2017—scope and application—law firms. Organisations subject to the MLR 2017 must evaluate proliferation financing risks and establish policies, controls and procedures to manage and reduce those risks. What is proliferation financing? Proliferation financing is the provision of funds or financial services used, in whole or in part, for any of the following in relation to chemical, biological, radiological or nuclear ( CBRN) weapons, in breach of a relevant financial sanctions obligation: manufacture acquisition ...
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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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