Legal Precedents

1 About you Name [ Insert name ] Role [ Insert role ] Address [ Insert address ] Contact telephone number(s) Please supply both landline and mobile numbers where available [ Insert contact telephone numbers ] Date form completed [ Insert date ] 2 Assessment Please respond ‘yes’ or ‘no’ to each question below. Do not worry if you are unable to say ‘yes’ in every instance—it is vital you reply truthfully, as this enables us to make sure you receive full support. [ Insert name of organisation ] will draw on your responses to carry out a risk assessment. As part of this process, we will decide whether to provide any further support or equipment, or determine if other measures should be implemented. [ Insert name of organisation ] may need to get in touch to explore your answers in more...

These guidelines set out practical advice and pointers to support you when working from home. Please also consult our separate Homeworking policy for further detail and reference. Keeping in touch We actively encourage all colleagues to stay in frequent contact with homeworkers, and in particular for managers and the people they supervise to arrange regular catch-ups. These catch-ups should take place regularly by mutual arrangement. The preferred method of contact should be mutually agreed, eg by email, video call and/or telephone. Wherever feasible, please make use of [ insert details of any company-provided messaging software, eg Microsoft Teams, OR available technology ] to hold face-to-face, video-based conversations. Both parties share responsibility for maintaining communication with one another at all times. Reporting sickness or injury Homeworkers must follow our usual sickness absence reporting procedures at all times. Please see our [ insert eg, sickness and...

Use this short guide to craft a strong, memorable password and keep protection as robust as possible for you and our business. Cybercriminals may try to guess your passwords to get into your devices or important accounts, eg email or online banking. They might use the most common passwords (eg PASSWORD1) or draw on publicly available details about you or your organisation. Once they succeed with one password, they may try the same one on other services. As a result, the strongest passwords are hard to predict and not reused across different accounts. Create a strong password There are several ways to create a resilient password: Make it difficult to guess by avoiding common patterns and publicly known information. Never reuse the same password across multiple accounts. Have sufficient characters Choose a password that is long enough. Our minimum password length is [ insert number, eg 12 ]...

Type of information Detailed information Date provided to trainee Introduction to the firm [ Share key facts about your firm, e.g. location, staff numbers, areas of work, and client demographics ] Names, status and responsibilities of individuals involved in training Training partner — [ insert name ]: — ensures training is delivered in line with SRA requirements — may pass those duties to others Supervisors — [ insert name if known ] — [ insert name if known ] — [ insert name if known ] Supervisors provide hands-on day-to-day coaching and create suitable opportunities for trainees to enhance their legal skills and knowledge [ Insert any other category ]: — [ insert name if known ] — [ insert name if known ] — [ insert name if known ] Introduction to other staff members [ Identify who it is important for the trainee to meet in the...

1 Introduction 1.1 Client and matter inception is a vital process that safeguards our firm, helps us understand our clients and their particular requirements, and ensures adherence to a range of regulatory obligations in full. 1.2 This document clearly explains our procedure for accepting new clients and opening new matters. It applies to all relevant people working at every level, including partners, consultants, solicitors, and other employees (whether permanent, fixed‑term or temporary), contractors, trainees, seconded staff, home‑workers, casual staff, agency staff, interns and students, agents, sponsors, volunteers, or any other person associated with the firm wherever located (collectively referred to as ‘staff’ in this policy). 2 Responsibility The [ insert, eg compliance officer for legal practice ( COLP) ] holds responsibility for this document and oversees the firm’s arrangements for both client and matter inception. If they are not available and a prompt response is needed, please...

This CDD matter risk assessment form captures the risks recognised under the anti-money laundering ( AML), counter‑terrorist financing ( CTF) and counter‑proliferation financing ( CPF) regime, alongside guidance from the appropriate regulators and any extra risks arising from our firm‑wide risk assessment ( FWRA). It is reviewed and refreshed routinely, either as new threats appear and/or at set intervals. When filling in this assessment, you must consult the standalone Explanatory notes, available in the Appendix. 1 Existing and former clients only Please consult section [ insert ] of the Explanatory notes and note your responses below. Is the CDD material on file sufficient and current; for example, where a passport was previously supplied for identification, does it remain valid? Refer to the Explanatory notes for criteria where the client is a company, unregistered company, LLP, eligible Scottish...

1 Introduction 1.1 Our goal is to deliver outstanding service to our clients. Despite our best endeavours, mistakes may on occasion occur. So far as possible, we nurture a culture without blame—any of us can make an error. 1.2 This policy describes our procedures for managing acts or omissions that may give rise to a negligence claim. 1.3 This policy applies to everyone working at any level, including partners, consultants, solicitors, and other employees (whether permanent, fixed-term or temporary), together with contractors, trainees, seconded staff, home-workers, casual staff, agency staff, interns and students, agents, sponsors, volunteers, or any other person connected with the firm wherever they are located (collectively referred to as ‘staff’ in this policy). 2 Responsibility for handling claims against the firm 2.1 [ Insert name of person nominated to receive internal claim/circumstance report forms ] is responsible for dealing with: 2.1.1 acts or omissions that might result in a...

This Precedent This Precedent is suitable for logging and tracking any CDD discrepancy reports received, together with such actions taken upon receipt. Click to download the register in Excel. Please note the register is prepared in Excel and cannot be downloaded to the Word format......

1 Instructions on completing this form If while carrying out Client Due Diligence ( CDD) checks, or through your ongoing monitoring duties as part of your obligations once a business relationship is already in place, you identify a material discrepancy between the beneficial ownership details supplied by the client and those appearing on the relevant registers (eg the Companies House register), you must complete this form and forward it to the [ state who the form should be sent to, eg nominated officer, head of risk, compliance officer ]......

1 Introduction 1.1 Publicity concerning our firm or any other business must be entirely truthful, not deceptive, and must not risk undermining the public’s confidence in solicitors and the legal profession. All publicity or promotional material created, published or distributed by or for our firm must comply with the SRA Standards and Regulations, the data protection and electronic marketing regime, as well as all other legal and regulatory obligations. 1.2 This publicity policy outlines the requirements for publicity and provides information on how we meet those obligations. It applies to everyone working at any level within the firm, including partners, consultants, solicitors, other employees (whether permanent, fixed-term or temporary), contractors, trainees, seconded staff, home-workers, casual staff, agency staff, interns and students, agents, sponsors, volunteers, or any other person connected with the firm wherever located (collectively referred to as ‘staff’ in this policy). 2 What is...

1 Introduction 1.1 Client care sits at the heart of the regulatory framework governing our work. We are committed to delivering a high standard of service to every client—this duty is shared by all staff to ensure we meet that aim. 1.2 This client care manual covers everyone working at any level, including partners, consultants, solicitors, other employees (whether permanent, fixed-term or temporary), contractors, trainees, secondees, home-workers, casual staff, agency staff, interns and students, agents, sponsors, volunteers, or any other person connected with the firm wherever based (together called ‘staff’ in this manual). 1.3 References to a ‘fee earner’ in this manual include all staff handling client matters and/or those responsible for managing client relationships, irrespective of their seniority or qualifications. 2 Responsibility The Compliance Officer for Legal Practice ( COLP) holds responsibility for this client care manual and supervises the firm’s client care...

1 Scope of this policy 1.1 This policy applies whenever the firm, or a member of staff, presents, refers or recommends a third party to a client. For clarity and consistency, the single term ‘introduce’ is used throughout. 1.2 For the avoidance of doubt, it also extends to introductions to other lawyers and other law firms. 2 Difference between instructing a third party and introducing a client to a third party 2.1 Putting a client in contact with a third party, such as a financial adviser or another lawyer, is not the same as instructing a third party (eg a barrister or expert) to contribute to a client’s matter. ......

This presentation serves as a training tool for orientating your firm’s non-finance employees to the SRA Accounts Rules, as well as your internal accounts manual or procedures. The materials provided are customisable. As this edition of the training pack is supplied in Power Point, it cannot, from this page, be downloaded into Word at this time due to the format......

1 Introduction 1.1 This policy sets out how we engage experts, barristers and other third parties to contribute to a client’s case. For ease, we refer to all such providers collectively as ‘third parties’ within this policy. 2 Difference between instructing a third party and introducing a client to a third party 2.1 Giving instructions to a third party is not equivalent to introducing your client to a third party, for example a financial adviser or another lawyer......

1 Introduction 1.1 This policy applies when potential clients are referred to us by third parties and/or when we agree to divide our fees with third parties. 1.2 For guidance on our policy and procedures when sending clients to third parties, see our separate Introduction to third parties policy. 2 Key definitions 2.1 A ‘referral’ arises when another person, business or organisation: 2.1.1 introduces or directs clients to the firm; 2.1.2 recommends our firm to clients; or 2.1.3 otherwise connects the firm and clients. This includes referrals from other solicitors. 2.2 The person, business or organisation making the referral is the ‘introducer’. Referrals may be made in return for: ...

1 Terms of business 1.1 [ Your agreement is exclusively with [ insert name of company or LLP ], which alone bears legal responsibility for the services undertaken for you and for any action or omission arising during that work. No representative, [ member OR director ], officer, employee, agent, or consultant of [ insert name of company or LLP ] will have any personal legal liability for any loss or claim. OR Your agreement is exclusively with [ insert name of partnership or sole practice ]. No employee, agent, or consultant of [ insert name of partnership or sole practice ] will have any personal legal liability for any loss or claim, save for the [ partners OR sole proprietor ] of [ insert name of partnership or sole practice ]......

The SRA Standards and Regulations include two Codes of Conduct, one for firms and one for solicitors, RELs, RFLs and RSLs. This presentation serves as a training resource to help you brief your firm’s people on the SRA Code of Conduct for Solicitors, RELs, RFLs and RSLs (the Code for Solicitors). It explains the Code’s scope and draws attention to important provisions, notably the SRA’s expectations regarding fair treatment and standards of behaviour in the workplace. It also offers a concise summary of the SRA’s breach reporting requirements, presented in outline as an introduction......

This Precedent presentation This Precedent presentation serves as a training tool that you can use to help brief your team on the SRA Standards and Regulations. It addresses the SRA Principles, the Codes of Conduct for individuals and for firms, the various different routes by which solicitors may practise, non-compliance, and reporting of breaches. The training resources can be tailored. This edition of the training pack is provided in Power Point and therefore it cannot be downloaded to Word from this page......

Question Correct answer 1. As a law firm regulated by the SRA, what must we adhere to? (c) SRA Standards and Regulations and any relevant legislation and rules that govern our business in general 2. How many Principles does SRA have? (b) 7 3. Which one of the options below is not an SRA Principle? (c) Comply with your legal and regulatory duties 4......

How to use this test These questions assess your understanding following your attendance at our Introduction to Compliance training. Once you have completed the test, please hand it back to [ insert name ]. General Name of person completing the test: [ Insert name ] Role: [ Insert role ] Date: [ Insert date ] Multiple choice questions Ring the correct option. As an SRA-regulated law firm, what must we comply with? UK legislation SRA Standards and Regulations and Law Society Practice Notes SRA Standards and Regulations and any other applicable legislation and rules that apply to our business generally How many SRA Principles are there? ...