Jurisdiction(s):
United Kingdom

Key definition

Notification definition

What does Notification mean? Notification describes the formal act of giving notice to a regulator, court or counterparty to trigger legal effects or satisfy a statutory duty. In competition and merger control, it means submitting a filing about a proposed transaction to the competent authority. In the EU, the eu merger Regulation (Regulation 139/2004) requires prior notification of concentrations meeting turnover thresholds; completion is suspensory pending European Commission clearance. In the UK (England & Wales, Scotland and Northern Ireland), merger notification under the Enterprise Act 2002 is generally voluntary, but the Competition and Markets Authority (CMA) can call in deals that meet jurisdictional tests;...

Notifying and recording staff external interests: policy for managing own-interest conflicts, confidentiality and disclosure in SRA-regulated law firms (England and Wales)

Published by a LexisNexis Practice Compliance expert

Precedents

1.1 Failure to spot and handle conflicts, confidentiality and disclosure matters can seriously harm a law firm, such as:

1.1.1 Clients may not receive the standard of service they are entitled to, leading to complaints or negligence claims;
1.1.2 Our standing could be harmed;
1.1.3 The firm, or individuals within it, could be:
- (a) Subject to disciplinary action by the Solicitors Regulation Authority (SRA) or another regulator, potentially resulting in fines, disqualification or other penalties;
- (b) Faced with third-party court claims for injunctions preventing us from acting on a matter and/or for damages.

1.2 An own interest conflict arises where our obligation to act in any client’s best interests on a matter clashes with the personal or commercial interests of the firm or a member of staff on that or a related matter—or there is a significant risk of such a clash. We must never act where an own interest conflict exists.

1.3 Such a conflict may stem from the external personal or commercial interests of people working for us...

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Web page updated on 27/05/2026

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