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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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The Bribery Act 2010 ( BA 2010) criminalises: offering or giving a bribe to another person (active bribery) requesting, agreeing to receive, or accepting a bribe (passive bribery) bribing a foreign public official for a business or commercial organisation only, failing to prevent bribery The purpose of this Practice Note is to present a general overview of the active and passive bribery offences in BA 2010, ss 1 and 2, together with the offence of bribing a foreign public official under BA 2010, s 6; in essence, the giving or receiving of bribes. It does not include a synopsis of the corporate offence of failing to prevent bribery, which is dealt with in Practice Note: Failure to prevent bribery—the offence. This Practice Note should be considered alongside Practice Note: The Bribery Act 2010—an introductory guide. BA 2010 came into force on 1 July 2011. Conduct occurring prior to...
Source of funds and source of wealth- FAQs This practice note is aimed at law firms and brings together frequently asked questions on source of funds/wealth under the anti-money laundering ( AML), counter-terrorist financing ( CTF) and counter-proliferation financing regime, including: Must I identify the source of funds for every transaction? What steps should I take to evidence the source of funds and/or wealth when conducting CDD or ongoing monitoring where a transaction is funded by cryptocurrency converted into British pounds? Third-party funds-to what extent should I undertake CDD to verify identity and/or the source of funds? Do I need to establish the source of funds for every property matter? Do I need to determine the source of funds for every transaction? There is no universal requirement to confirm the source of funds for every client and matter. That said, gaining an...
This Practice Note sets out what law firms and solicitors must do under the SRA Code of Conduct for Solicitors, RELs, RFLs and RSLs (the Code for Individuals) and the SRA Code of Conduct for Firms (the Code for Firms) regarding referrals and fee‑sharing arrangements. The SRA’s core regulatory obligations concerning referral and fee‑sharing arrangements are contained in the two Codes of Conduct, which should be read carefully and applied properly in the context of the SRA Principles ( SRA Principles). It also reflects current SRA guidance, which is concerned almost entirely with personal injury referral fees. It addresses scenarios in which a third party sends clients to you and/or you make a formal fee‑sharing arrangement with a third party. A different Practice Note covers occasions when you put clients in touch with third parties—see the Practice Note: Introductions to third...
An undertaking is a solicitor’s binding assurance to act. The courts may enforce it against the solicitor. Breaching an undertaking may amount to professional misconduct, exposing the solicitor to SRA or SDT disciplinary measures. See Practice Note: Undertakings and the SRA. That Practice Note sets out what may amount to an undertaking. The court’s powers concerning undertakings are set out in Practice Note: Undertakings and the court. It is, therefore, a serious professional obligation. SRA definition For the purpose of the SRA, an undertaking is: a statement, made orally or in writing (even if it does not use the term 'undertake' or 'undertaking') addressed to a person who reasonably relies upon it that you, or another party, will do or procure something, or refrain from an act Every element must be present for an undertaking to arise. Without them, no...
This Practice Note sets out the core principles, meaning and rationale for privilege. It identifies the main categories and explains how they operate: legal advice privilege and litigation privilege (together, ‘legal professional privilege’ ( LPP)) common interest privilege joint privilege public interest immunity ( PII) closed material procedures ( CMP) It examines the effect of privilege on disclosure and inspection, distinguishes confidential documents from privileged material, and considers who owns the right, how long it lasts, and its impact on case management. Practical tips on handling privilege are also provided. What is privilege? In English law, privilege is a fundamental right enabling a party, or its successors in title, to refuse production of certain documents (see the Court of Appeal decision in Addlesee v Dentons Europe). Where privilege applies, it generally does not remove the duty to disclose that a...
This Practice Note considers privilege and confidential information where the client–solicitor relationship has ended. It explores who holds privilege in general and in later litigation, and whether a former client can restrain their previous solicitor from acting for another party on the basis of privilege or breach of confidence. Who does privilege belong to in any subsequent litigation? Legal professional privilege belongs to the client—see further: Privilege—general principles— Who does privilege belong to? Moreover, once a communication is privileged, it will usually remain so—see further: Privilege—general principles— How long does privilege last? This was illustrated in Kousouros v O’ Halloran, where it was decided that a party retained legal advice privilege over a document disclosed to an opponent by a former solicitor, even after the retainer had concluded. The underlying dispute involved a brother and sister who were each given equal shares in their...
Although application materials and interviews can indicate a candidate’s fit for a vacancy, further checks or vetting are still required to confirm their overall suitability. You must confirm the individual’s permission to work in the UK (see section: Establishing the right to work in the UK). These steps complement the assurance gained from your initial application and interview assessments. In addition, you may need to: request references from their current and previous employers—see section: References where appropriate, seek a Criminal Record Certificate or Enhanced Criminal Record Certificate from the Disclosure and Barring Service ( DBS)—see section: Criminal records—asking questions and DBS checks obtain a pre-employment medical report on the candidate—see section: Health questions establish that a regulated candidate holds the qualifications claimed and review their disciplinary history—see section: Qualifications and regulatory record checks carry out pre-employment due diligence or...
This Practice Note offers guidance on the SRA Codes of Conduct within the SRA Standards and Regulations. The SRA Standards and Regulations comprise two Codes of Conduct—a Code for Solicitors, RELs, RFLs and RSLs, and a Code for Firms. The Standards and Regulations (including the Codes of Conduct) set out the standards and requirements that individual solicitors and firms regulated by the Solicitors Regulation Authority ( SRA) are expected to achieve and observe: for the benefit of clients, and in the general public interest This Practice Note outlines the structure of the SRA Codes of Conduct, identifies who carries responsibility for adherence, and the potential outcomes of any breach. It contains a series of tables setting out and contrasting how the requirements in the Codes apply to individuals and to firms, highlighting similarities and differences across those duties. For further guidance on the SRA...
STOP PRESS: On 19 June 2025, the Data ( Use and Access) Bill secured Royal Assent, becoming the Data ( Use and Access) Act 2025 ( DUAA 2025), with parts commencing on that day. Provisions addressing, among other things, handling data subject access requests and granting powers to make further regulations took effect immediately on 19 June 2025. Other measures, dealing with notices from the Information Commissioner and certain aspects of law enforcement processing, began on 19 August 2025, two months after Royal Assent. Most remaining sections of DUAA 2025 require additional regulations, in the form of statutory instruments, before they can commence. Parts 5 and 6 amend areas of UK data protection and e Privacy law, including the United Kingdom General Data Protection Regulation, Assimilated Regulation ( EU) 2016/679 ( UK GDPR), the Data Protection Act 2018, and the Privacy and...
This Practice Note outlines the central duties relating to sources of funds and wealth, and draws out the distinction between the two concepts. It also explains what to do if you are concerned. The guidance is of general application, alongside specific direction for firms overseen by the SRA for anti‑money laundering ( AML) purposes. If you are not a legal practice and/or the SRA does not act as your AML supervisor, you should confirm whether different or additional requirements apply in your sector and whether your regulatory body imposes further, sector‑specific expectations about source of funds and wealth. Source of funds v source of wealth The two terms are not synonymous; while they may overlap substantially, they are interconnected rather than standalone. They should not be viewed in isolation from one another in each case accordingly. Source of funds concerns where the monies used for...
Legal professional privilege ( LPP) is a crucial factor when assessing whether to file a suspicious activity report ( SAR) with the National Crime Agency ( NCA) under the Proceeds of Crime Act 2002 ( POCA 2002) and the Terrorism Act 2000 ( TA 2000). Key questions include: Would submitting a SAR to the NCA breach your obligation to preserve client confidentiality? Would it infringe the client’s right to LPP? Does the privileged circumstances defence arise? This is an exceptionally complex area of law. This Practice Note addresses privilege only as it relates to the AML and CTF regime. Broader privilege matters are excluded. For general guidance on LPP, see the subtopic: Legal professional privilege. Duty of confidentiality Law firms owe a stringent professional and legal obligation to keep clients’ affairs confidential. Safeguarding a client’s confidential information is a core aspect of your duty to the...
There is no explicit rule that you must run a file audit or review process. Nevertheless, firms holding or pursuing Lexcel accreditation need a file review framework, and professional indemnity ( PI) insurers frequently ask about such systems as an indicator of sound risk management. This Practice Note outlines why a file review system is advisable and describes how to introduce and sustain an effective approach within your firm... Regulatory requirements SRA regime While a file review process is not specifically mandated, the SRA requires an effective method for supervising clients’ matters—see Practice Note: Supervision—regulatory requirements—law firms and Precedent: Supervision policy—law firms. You remain responsible for work undertaken through those you supervise or manage You must ensure client work is supervised effectively You must also make sure the people you manage are competent for their role, and that they maintain up-to-date...
What is a CFA? A conditional fee agreement ( CFA) is an arrangement with a professional providing advocacy or litigation services under which their fees and expenses, in whole or in part, are payable only when certain specified conditions arise. CFAs commonly include provision for a success fee. In short, a CFA is taken to provide for a success fee where, in defined circumstances, the amount of the applicable fees is increased above the figure that would have been due if payment were not restricted to those circumstances. For a fuller discussion of success fees, see the section ‘ Success fees’ below and the Practice Note: Conditional fee agreements—success fees. Note that particular provisions, including those relating to success fees, apply when a CFA is used in personal injury, clinical negligence and mesothelioma claims, and these are not covered in this Practice Note. For those...
Bringing a client matter to a tidy close is a core element of client care, risk control and housekeeping. There are both regulatory duties and good practice points to weigh as well. This Practice Note is a practical ‘how to’ for law firms on closing files, outlining steps to take and key considerations when concluding a matter. It explains practical actions involved and regulatory and other factors that arise when bringing a matter properly to a close. Regulatory requirements SRA requirements The SRA Standards and Regulations require you to demonstrate that you deliver services in a way that safeguards clients’ interests, consistent with the proper administration of justice. The Standards and Regulations are not prescriptive about how this must be achieved. If you supervise or manage others providing legal work, you remain answerable for their output and for ensuring those you oversee are competent and...
Safeguarding confidential information sits at the heart of your client relationship, both as a legal obligation and as a matter of professional conduct. This duty continues after a retainer ends, survives a client’s death, and may apply to prospective as well as current and former clients. When deciding whether you can act where confidentiality is engaged, consider four principal questions: what amounts to material confidential information? what is an adverse interest? what is informed consent? what does the common law require for effective safeguards, including information barriers? This Practice Note focuses on safeguards and information barriers. For guidance on the remaining issues, see Practice Notes: Material confidential information and adverse interests, and Informed consent—law firm confidentiality. The duties of confidentiality and disclosure— SRA requirements You must keep clients’ affairs confidential unless: disclosure is required or permitted by law, or the client...
A client care letter ( CCL) A clear, straightforward client care letter that contains the right details can strengthen your business by: showcasing your values and high standards of service reducing the likelihood of complaints by setting out what clients can expect, particularly regarding costs retaining clients explaining the regulatory protections your clients benefit from making clear what you require from the client so you can progress their matter or protect their legal position There is little that the SRA specifically requires you to provide to clients in writing at the start of their matter, and there is no regulatory obligation to issue either a CCL or a terms of business ( TOB). However, the SRA clearly expects firms to use a CCL and has produced guidance, which is reflected in this Practice Note. This Practice Note also reflects the Law...
This Practice Note mirrors obligations set out in the SRA Code of Conduct for Solicitors, RELs, RFLs and RSLs, and the SRA Code of Conduct for Firms (together, the ‘ SRA Codes of Conduct’). See also Precedent: Client care manual. Regulatory duties concerning client care are broad and span many topics. Client care expectations also appear in the Law Society’s voluntary practice management standard, Lexcel. These are compulsory for firms that hold, or are working towards, accreditation. They are not compulsory for other firms, though they indicate good practice. SRA and other requirements SRA and other regulatory obligations relating to client care address these themes: dealing with client matters vulnerable clients accepting and refusing instructions and ceasing to act client protections information on costs commissions and financial benefits referrals and fee...
This Practice Note: CDD ID documentation— FAQs is intended for law firms. It addresses frequently asked questions on client due diligence ( CDD) and identification documents under the anti-money laundering ( AML) and counter-terrorist financing ( CTF) regime, including: Whether a current, valid UK photocard driving licence, on its own, is adequate to satisfy CDD requirements Whether CDD materials must be updated when items expire, e.g. a passport copy, for AML purposes What steps to take when a client’s passport and driving licence display different names to confirm the client’s identity Who is permitted to certify identification documents (passports, driving licences, utility bills, etc) and the exact certification wording to use Can a current, valid UK photocard driving licence alone satisfy CDD requirements?......
Facilitating the performance of a duty by public officials Facilitation payments, sometimes termed ‘grease’ or ‘facilitating’ payments, are typically modest sums made to public officials or third parties in order to secure the carrying out of their functions, either more swiftly or even to ensure it occurs at all. This may extend to the giving of ‘gifts’, such as cigarettes or alcohol. In certain jurisdictions, these payments are routine and lawful (eg permitted in some situations under the US Foreign Corrupt Practices Act 1977 ( FCPA 1977); see Practice Note: The US Foreign Corrupt Practices Act 1977 ( FCPA 1977) and Bribery Act 2010 ( BA 2010) comparison table). Are facilitation payments illegal under BA 2010? Such payments amount to the offering, promising or providing of a financial advantage and therefore constitute bribery, as the Bribery Act 2010 ( BA 2010) provides no...
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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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