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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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STOP PRESS: The Data ( Use and Access) Act 2025 ( Commencement No 6 and Transitional and Saving Provisions) Regulations 2026, SI 2026/82, activate the remaining provisions of the Data ( Use and Access) Act 2025 ( DUAA 2025). Measures on subject access requests, legitimate interests, purpose limitation, automated decision-making, international transfers and enforcement take effect from 5 February 2026, with penalty notices and complaints provisions commencing on 19 June 2026. For further details, see Practice Note: Data ( Use and Access) Act 2025—employment implications. That Practice Note will be updated shortly to reflect these developments. The growing reliance on social media brings both opportunities and hazards for employers and staff. The capacity to connect, build networks and broadcast swiftly to broad yet targeted audiences can greatly aid an organisation when used constructively. Yet the same characteristics can create serious...
Data protection and privacy law issues are likely Like many organisations, you may devote considerable time and energy to your marketing efforts, but you must likewise set aside adequate resources to stay compliant with the rules. In summary, you should weigh the following areas: data protection and privacy requirements, such as the UK General Data Protection Regulation ( UK GDPR) and Privacy and Electronic Communications ( EC Directive) Regulations 2003 ( PECR 2003) consumer protection legislation—see Practice Note: Consumer protection from unfair trading under the Digital Markets, Competition and Consumers Act 2024 codes of practice, such as the Code of Non-broadcast Advertising, Sales Promotion and Direct Marketing ( CAP) Code and the Direct Marketing Association Code ( DMA Code) other advertising and direct marketing law, where relevant—see Practice Note: Advertising law and...
This Practice Note contains a spreadsheet, collating detailed data breach examples provided by UK and European regulators, ie: ICO, Personal data breaches: a guide EDPB, Guidelines 01/2021 on Examples regarding Personal Data Breach Notification The spreadsheet can be consulted to help you judge whether specific kinds of data breach should be reported to the Information Commissioner’s Office ( ICO) and/or to affected data subjects; nonetheless, you must always undertake your own assessment of any breach that occurs within your organisation. The reporting threshold for the ICO is lower than the threshold for notifying data subjects—this is outlined below and also indicated via notes within the relevant spreadsheet columns. The examples are set out as detailed scenarios, which are......
The SRA Code of Conduct for Firms ( Code for Firms) obliges your practice to maintain robust governance structures, arrangements, systems and controls to secure, among other outcomes, compliance by the firm, its managers and staff with the SRA’s regulatory arrangements and any other relevant regulatory or legislative duties. This Practice Note explores the Code for Firms requirements, explains what governance means, and how to put in place clear, transparent governance arrangements. It reflects the provisions in the SRA Standards and Regulations. What is governance? There is no single, universally agreed definition of governance, whether within legal services or across the wider corporate landscape. OECD definition In 1999, the Organisation for Economic Co-operation and Development ( OECD) described corporate governance as the framework by which business companies are steered and overseen. A governance structure sets out how rights and...
Your complaints handling framework (see Practice Note: How to implement and maintain effective complaints handling procedures—law firms) should reflect the scale and character of your firm. Recognise that some circumstances will call for a more bespoke response, while still being managed within your overall complaints processes. This How-to-guide highlights examples where additional factors may need attention beyond those covered by your standard complaints handling framework... Complaints about the bill Concerns about bills arise fairly often. You must handle a billing complaint in exactly the same manner as any other complaint. The Legal Ombudsman ( Le O) has issued guidance on Complaints about legal costs, having identified recurring themes. Although aimed particularly at matters funded by conditional fee agreements, it offers a broader view of Le O’s general approach. When assessing cost-related complaints, Le O will consider whether, from the outset, you ensured the client fully...
Special category personal data Special category personal data is highly sensitive or private and therefore demands heightened protection. It is closely associated with: freedom of thought, conscience and religion freedom of expression freedom of assembly and association the right to bodily integrity the right to respect for private and family life freedom from discrimination There is a presumption that such data must be handled with greater care, as collecting and using it is more likely to intrude upon these fundamental rights or expose someone to discrimination. This Practice Note assumes familiarity with the concept of personal data. It outlines what qualifies as special category personal data and offers practical guidance on when and how you may process it. This Practice Note does not cover criminal offence data, which is governed by separate rules. This is most likely to be relevant to private sector commercial organisations in the employment...
A data protection impact assessment ( DPIA) is exactly what it sounds like—an evaluation of how a particular project or process may affect data protection for impacted individuals. This Practice Note sets out: what a DPIA is whether DPIAs are mandatory, and if so who should carry out the assessment, and how It also covers how DPIAs relate to privacy impact assessments ( PIAs) and data protection by design and default ( DPb DD). Precedent: Data protection impact assessment— DPIA aligns with the UK GDPR. See also Precedent: Data protection impact assessment— DPIA—short form, based on an Information Commissioner’s Office ( ICO) template. ICO guidance on DPIAs is available in two places: Data protection impact assessments and Data Protection Impact Assessments ( DPIAs). What is a data protection impact assessment? A DPIA is a practical mechanism to help you: spot and reduce data...
This Practice Note examines in detail the failure to prevent fraud offence under the Economic Crime and Corporate Transparency Act 2023 ( ECCTA 2023). ECCTA 2023 obtained Royal Assent on 26 October 2023 and came into force on 1 September 2025 via the Economic Crime and Corporate Transparency Act 2023 ( Commencement No 4) Regulations 2025, SI 2025/349 (see: LNB News 17/03/2025 1). It sets out the offence’s constituent elements and overall scope, and compares it with the other corporate ‘failure to prevent’ offences concerning bribery and the facilitation of tax evasion. The Note also addresses the defence of having reasonable procedures to prevent fraud, describing what companies must build into their fraud prevention framework in order to rely on that defence in practice. Government statutory guidance has been issued on the offence, offering large organisations clear direction on the...
The obligations for supervising trainees stem from the SRA Codes of Conduct and the SRA’s specific regulatory rules for authorised training providers that run training contracts. What is required varies slightly according to whether an individual is on a formal training contract or progressing to qualification via the Solicitors Qualifying Examination ( SQE). This Practice Note sets out what is expected of you when you supervise, track and evaluate trainees and SQE candidates. It mirrors the requirements of: the SRA Codes of Conduct, which set out the SRA’s core supervision standards generally — see section: Supervision—core requirements the SRA Education, Training and Assessment Provider Regulations — see section: Standard of training guidance on supervising trainees published on the SRA website Induction and other support It is considered good practice to deliver an induction for all trainees, including SQE candidates you employ to obtain...
This Practice Note looks at: an explanation of ‘the gender pay gap’ and other pay differences connected to a protected characteristic, such as ethnicity and disability findings from recent Office for National Statistics ( ONS) reports about these disparities common drivers or traits of gender, ethnicity and disability pay gaps methods an employer can use to pinpoint the specific causes of pay gaps within its own workforce, including where in the organisation they arise and the factors behind them steps an employer can introduce or adopt to improve its pay gaps Pay gap reporting can provide a concrete means for an employer to evidence progress under the S (social) of ESG (environmental, social and governance). For further information, see: News Analysis: ESG: Pay Gap Reporting—a tangible way to show progress under the S. For more on ESG...
This Practice Note is aimed at UK commercial organisations and is sector-agnostic. It outlines the data protection issues linked to workforce diversity monitoring, including: whether consent is required from the individuals involved whether collecting anonymised data can place you outside data protection rules Large employers commonly gather diversity information and track patterns. Some also share these figures on their intranet and, at times, on public websites. In certain industries, regulators require disclosure; for instance, law firms must submit diversity data to the Solicitors Regulation Authority. Why is data protection relevant to diversity monitoring? The UK General Data Protection Regulation applies whenever you process personal data (see Anonymising diversity data, below). Diversity metrics typically amount to special category personal data under the UK GDPR. Examples include: data revealing racial or ethnic origin, political opinions, religious or philosophical beliefs, or trade union...
This Practice Note outlines the regulatory obligations when representing vulnerable clients. It also stresses the importance of keeping a record of the client care arrangements you operate and being able to evidence that these are suitable and appropriate for your clients, matters, and the particular circumstances encountered in practice. This Practice Note offers guidance regarding adult vulnerable clients. It does not include specific guidance about minors. For more information, also see Practice Note: How to identify and respond to the needs of vulnerable clients. What is a vulnerable client? There is no precise definition of ‘vulnerable client’ for law firms. The SRA Standards and Regulations contain very few references to vulnerable clients (see section SRA requirements), favouring a broader obligation to consider clients’ attributes, needs and circumstances. For this reason, Precedent: Client care manual does not employ the term...
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), and coming partly into force that day. Provisions dealing with issues such as handling data subject access requests and granting powers to make supplementary regulations took effect immediately on 19 June 2025. Further measures, relating to notices issued by the Information Commissioner and certain elements of law enforcement processing, started on 19 August 2025 (two months after Royal Assent). Most other elements of DUAA 2025 will only commence once additional regulations, in the form of statutory instruments, are made. Such secondary legislation is required to bring the majority of the Act’s remaining provisions into operation. Parts 5 and 6 of DUAA 2025 introduce amendments to aspects of the UK’s data protection and e Privacy...
The Financial Conduct Authority ( FCA) sets out examples of effective practice for sanctions frameworks and controls in Part 7 of its FCG: A firm’s guide to countering financial crime risks, and in its Financial Crime Thematic Reviews ( FCTR) Part 8 on financial services firms’ approach to UK financial sanctions. This Practice Note draws on those sources. It also reflects guidance issued by the SRA for law firms on complying with the UK Sanctions Regime, together with insights from its anti-money laundering annual reports. Our Financial sanctions compliance—checklist highlights particular Precedents you can use or tailor to evidence sound practice in financial sanctions compliance. Governance and senior management responsibility Good practice A suitably senior individual oversees the firm’s compliance with the sanctions regime. Clear articulation of when customer screening occurs in different scenarios, eg when clients are transferred by agents or other...
The sanctions framework applies to every law firm. This Practice Note sets out what that entails for you. See also Practice Note: Sanctions—systems and controls—law firms, which offers practical guidance on building systems and controls to secure compliance with the financial sanctions regime. What are sanctions? Sanctions are international measures designed to: prompt a shift in the conduct of a specific country or regime place pressure on particular countries or regimes to meet defined objectives prevent and suppress the funding of terrorism They also function as an enforcement option of last resort where international peace and security have been threatened. Targets can include countries, regimes, organisations, individuals and entities. For a full explanation, see Practice Notes: Understanding the financial sanctions regime and Understanding the UK trade sanctions regime. The law The sanctions regime extends to all law firms—unlike the anti-money laundering,...
This Practice Note This Practice Note is for private-sector commercial organisations in the UK and compiles direct marketing examples provided by the Information Commissioner’s Office ( ICO). These are sourced from the ICO’s: Direct marketing guidance Guidance on direct marketing using live calls Guidance on direct marketing using electronic mail Guidance on business-to-business marketing Guidance on Direct marketing and regulatory communications Guidance on Lawful basis— Consent Examples are grouped by theme—what counts as direct marketing, soft opt-in, refer-a-friend and consent—covering common scenarios. If your plans align with an example, you can quickly judge likely compliance with the UK General Data Protection Regulation ( UK GDPR), Assimilated Regulation ( EU) 2016/679 and the Privacy and Electronic Communications ( EC Directive) Regulations 2003 ( PECR 2003), SI 2003/2426. The UK GDPR is the main data protection law in the UK—see Practice Note: UK...
This Practice Note is aimed at law firms regulated by the SRA. Drawing on SRA guidance about the hallmarks of effective supervision, it sets out how to meet the SRA’s supervision requirements across these working models and activities: arrangements with no employment relationship remote, hybrid and agile working advocacy the conduct of litigation and other reserved legal activities claims management activities legal aid work immigration work Sound supervision is both a regulatory duty and good practice. It helps to manage the risk of negligence and other regulatory risks. For information on the SRA regulatory regime for supervision, see Practice Note: Supervision—regulatory requirements—regulatory requirements—law firms. Supervision where there is no employment relationship Where you supervise, or are supervised by, someone with whom you do not have an employment relationship, the SRA expects you to ensure there is a clear, shared...
This Practice Note addresses regulatory obligations and practical considerations concerning the layout and substance of a client’s final bill of costs, including situations where an interim statute bill has been issued. It also sets out how interim bills should be dealt with when you come to serve your final bill. While the words ‘bill’ and ‘invoice’ are often treated as interchangeable, this Practice Note consistently uses the term ‘bill’. There is no specific statutory or regulatory prescription for the precise form or contents of a client’s final bill. However, that does not entitle you to present the bill in any format you wish. You must ensure that you: comply with the information and related obligations in the SRA Standards and Regulations, which, though not directed at bills expressly, do apply to your bill in an indirect way are able, if the bill...
At any one time, most practices carry a handful of aged, typically modest, residual balances tied to client matters within the firm. In the normal run of business, handling these residual balances ought to be straightforward, routine housekeeping. On occasion, though, the volume and spread of residual balances is such that a more substantial project is needed to bring them back under firm control. This Practice Note explores practical questions that can confront the project sponsor, eg the COLP or COFA, when initiating a programme to address your firm’s residual balances. It sets out the circumstances that may prompt commencing a project, how best to start and organise the work, and offers pragmatic pointers designed to lighten the project sponsor’s workload considerably. It should be read in conjunction with Practice Note: Residual balances—law firms. In what circumstances will a residual balances project be...
Unacceptable behaviour in the workplace Bullying, harassment and discrimination harm employees, damage firms and, by consequence, affect clients. While previously, such conduct, though never acceptable, may have been more commonplace in some areas of the profession, the landscape has shifted. Legal safeguards are stronger, and there is far wider appreciation of the need both to tackle poor conduct when it appears and to foster cultures that prevent it arising. In 2022, the Solicitors Regulation Authority ( SRA) issued findings from a thematic review of workplace culture, alongside related guidance for firms and solicitors on work environments and managing the risks of failing to protect and support colleagues. It later released further guidance on sexual misconduct, which it may treat as a regulatory concern even if it happens privately outside the office. The SRA has also amended its Codes of Conduct to set out its...
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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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