Legal Precedents

Documents The Chair laid before the meeting the following papers: Proposed anti-slavery and human trafficking statement (the Statement) [ Memorandum for the [ board of directors OR members OR partners ] accompanying the organisation’s draft Statement for approval ] [ Yearly modern slavery and human trafficking risk report for the [ board of directors OR members OR partners ] ] [ Modern slavery and human trafficking—organisation-wide risk assessment ] [ Modern slavery and human trafficking—supplier risk evaluation ] [ Anti-slavery policy ] ......

Please check that this be adequate for your purposes—you may need to undertake a full Data protection impact assessment ( DPIA)—refer to [ insert link to your organisation’s DPIA screening questions ] 1 Background information Project title [ insert a name for the project ] Date of privacy impact assessment ( PIA) completion [ insert the date the PIA is being completed ] Name and email address of individual accountable for the project and completing this form [ insert name and email address of the person completing the PIA form—eg the project manager ] 2 Describe the project Set out the project or activity and its overall purpose [ insert general description of the project or activity, eg what you plan to achieve and why. You may find it helpful to refer or link to other relevant documents, eg a project proposal...

Private individuals must complete section number 1; companies must complete section 2...

1. Data breach team Limiting harm is the immediate priority after a security incident. You will require a dedicated group to oversee the data breach. What should you do? ☐ Form a data breach team, including your data protection officer ( DPO) and/or data protection manager ( DPM) (if you have one), head of legal/compliance, head of IT, and head of HR (if employee data is affected). ☐ Nominate a person to lead the team (ideally not your head of IT). 2. Preliminary notifications Your first reaction might be to inform affected individuals and regulators, but you need sufficient detail before deciding if that is required or appropriate. The deadline for notifying the Information Commissioner’s Office ( ICO) under the UK General Data Protection Regulation ( UK GDPR) is 72 hours from becoming aware of the breach, and the UK GDPR Recitals indicate you should...

Ask for copies of your data You are entitled to request copies of the personal information we hold and process. This is your right of access, often referred to as a data subject access request, or ‘ DSAR’. We usually reply within one calendar month from the date we receive your request. At times we may need longer, or we may have to apply a reasonable fee to cover administrative costs; if that happens, we will let you know You do not have to use this form to obtain copies of your data; however, providing details of what you are seeking helps us respond completely and without delay. You can also use this form to request access to personal data for another person. In such circumstances, we will require confirmation that you have that individual’s authority to act and to request access to their...

Instructions for cancellation Right to cancel You are entitled to cancel this agreement within 14 days without providing a reason. The cancellation window ends 14 days after the date the contract is made. To use your right to cancel, please notify us of your decision with an unambiguous notice (for example, a letter sent by post, a fax, or an e-mail). You may use the enclosed Cancellation Form to do this, although it is not compulsory. No explanation is needed......

We are dedicated to delivering a first-rate legal service. We recognise we may not always be perfect, so if anything has gone amiss, including concerning our fees, please let us know. Your feedback enables us to enhance the quality of our service and standards for future clients. How do I make a complaint? You may reach us in writing (by letter or email) or by telephone. At first, it can be useful to speak with the individual handling your case about your concerns, and we will make every effort to sort out any problems. If you do not feel able to raise your concerns with them, please contact the person directly responsible for the overall supervision of your matter, who is named in the client care letter that we previously sent to you at the very beginning of your matter......

Dear [ Insert client’s name ] [ Insert heading, eg matter description ] Thank you for asking us to represent you in relation to [ describe matter ]. This Engagement Letter, together with the enclosed Terms of Business, sets out the terms on which we will act for you; taken together they constitute our contract. Please let me know if you find any part of this Engagement Letter or any other information difficult to understand—for example, if anything is unclear or you need it in larger print, an alternative format, or another language. 1 Contact details and supervision Your matter will be handled by [ insert name of person handling matter ], who is a [ insert status ]. Their contact details are: Telephone number: [ Insert telephone number ] Email address: [ Insert email address ] Postal address: [ Insert postal address ] The...

1 Introduction This accounts manual outlines our accounting processes and controls for fee earners and other non-finance colleagues. A separate, more detailed accounts manual is available for the Finance team. Responsibility for this manual rests with the [ Head of Finance OR COFA ]. 2 Basic principles We must protect money and assets entrusted to the firm by clients and others. We must at all times comply with the SRA Accounts Rules (the Accounts Rules). Unless the Accounts Rules state otherwise, we must: keep client money separate from the firm’s money; hold client money safely in a client bank account; withdraw client money from a client account only as permitted by the Accounts Rules; not operate banking facilities through a client account; and pay a fair amount of interest on any client money the firm holds. 3 Accounts...

This conflicts and confidentiality decision tree guides you through the conflicts and confidentiality duties in the SRA Standards and Regulations, enabling you to decide whether we may act on a particular matter and what steps you must take to accept instructions. It addresses the SRA’s regulatory obligations relating to confidential information held for current or former clients. It does not consider confidentiality duties owed to non-clients, e.g. under a confidentiality agreement with a third party. For further details on conflicts of interest and confidentiality, please see our Conflicts, confidentiality and disclosure policy. Click below to view or print the full-size PDF version: Note 1—prohibition on acting in an own interest conflict situation An own interest conflict arises where a conflict (or a significant risk of one) exists between: the personal or commercial interests of the firm or a member of our staff; our duty to act in...

The following table sets out a variety of conflict and confidentiality scenarios we might encounter. It is intended to guide decisions on whether we may act and, if so, which measures we should adopt. It mirrors the obligations in the SRA Code of Conduct for Solicitors, RELs and RFLs ( Code for Solicitors) and the SRA Code of Conduct for Firms ( Code for Firms) regarding conflicts of interest and the protection of confidential information belonging to current or former clients. It does not cover clashes with the firm’s commercial interests or duties of confidentiality owed to non-clients, eg under a confidentiality agreement with a third party. When we evaluate a potential conflict or confidentiality concern, one end of the spectrum is that we cannot act at all, and at the other there are no conflict or...

1 Our contract with you These Terms of Business (as amended from time to time) apply to all work we carry out for you. They are important—please read them and keep them somewhere safe for future reference. Each time you instruct us on a new matter, we will issue a letter confirming your instructions and outlining the scope of our work, our fees, and the relevant contact details. This is the Engagement Letter. These Terms of Business should be read alongside the Engagement Letter—together they constitute the contract between us. If there is any conflict between these Terms of Business and the Engagement Letter, the Engagement Letter will take precedence. [ Although your ongoing instructions in this matter will indicate your acceptance of these Terms of Business, we request that you sign, date and return one copy for our...

1 Amount of interest We will credit a reasonable amount of interest to clients or third parties on any client funds we are holding for them. 2 Circumstances in which interest will not be paid We will not pay interest: 2.1 on funds we are directed to keep outside of a client account in a manner that earns no interest, eg cash held in our safe; 2.2 where the amount of interest, as assessed under this policy, falls below £[ 30 ] [ —on the basis that the costs financially associated with paying that interest are disproportionate to the amount involved overall ] ; 2.3 where we agree an alternative arrangement, in writing, with the client or third party for whom the money is held—when this occurs, we will provide sufficient appropriate information to enable the client or the third party to give...

1 Introduction This paper outlines our finance and accounting frameworks, procedures and controls. All individuals working within the firm’s Finance team must make sure they have read and fully understand what follows. A concise, separate edition of this paper is provided for fee earners and other colleagues outside the Finance function. 2 Basic principles 2.1 We are required to protect funds and assets entrusted to the firm by clients and others. 2.2 We must at all times adhere to the SRA Accounts Rules (the Accounts Rules)......

1 Introduction 1.1 This paper outlines how we will meet the wide-ranging regulatory obligations relevant to our firm and constitutes a component of our broader risk management approach. 1.2 If we do not adhere to those rules or fail to handle regulatory risk effectively, the potential outcomes include: 1.2.1 clients might not obtain the standard of service they are rightfully due, leading to complaints or allegations of negligence; 1.2.2 harm to our reputation; 1.2.3 disciplinary action by the SRA or another regulator against the firm or its people, potentially resulting in fines, disqualification, or other penalties; or 1.2.4 exposure of the firm or its individuals to criminal proceedings. 1.3 We have consistently treated compliance with utmost seriousness and will maintain that stance. 2 Compliance obligations 2.1 The Solicitors Regulation Authority ( SRA) directly regulates the firm and our solicitors [ , Registered European Lawyers ( RELS), Registered Foreign Lawyers ( RFLs) and...

1 General Date [ Insert date ] Full name and position of the individual completing this form [ Insert name ] [ Insert job title ] Client/matter reference [ Insert number ] Responsible fee earner [ Insert name ] Client’s name [ Insert name ] Summary of the matter [ Insert description ] 2 Reason client/matter is high-risk Is the client or the matter high-risk? ☐ Client ☐ Matter ☐ Both Basis for high-risk classification: As outlined in the client or matter risk assessment form. [ Insert ] 3 Monitoring 3.1 File audit/review Most recent file review/audit date [ [ Insert date ] OR None ] Were any significant issues identified at the last review/audit? ☐ Yes— provide details ☐ No 3.2 The client Are the client’s contact particulars current? ☐ Yes ☐ No— add an action point at section 5 Any substantive amendments to the...

This Precedent deck is aimed at legal practices. It serves as a tool to instruct your team about breach reporting duties in line with the SRA Codes of Conduct......

1 Compliance officer for finance and administration ( COFA) details Firm name [ Insert firm name ] COFA’s name [ Insert name ] Reporting line [ Insert name ] Employment status (full-time/part-time) [ Insert ] Other positions held in the firm [ Insert ] Firm appointment date [ Insert date ] SRA approval date [ Insert date ] 2 Role summary 2.1 Steer [ insert firm name ]’s [ global ] approach and ethos for compliance with the SRA Accounts Rules. 2.2 Undertake all proportionate measures to make sure [ insert firm name ] and its managers, staff, or interest holders meet their duties under the SRA Accounts Rules. 2.3 Guarantee swift notification to the SRA of any material breach of the SRA Accounts Rules, and any other reportable issues concerning [ insert firm name ] and its...

This Deed This Deed is entered into on [ insert date ] by the parties identified below. Parties The individuals whose full names and addresses are set out in the Schedule (each a Partner and, collectively, the Partners) [ Insert name of COFA ] of [ insert address ] (the COFA) BACKGROUND ( A) The Partners carry on business as a legal practice authorised and regulated by the Solicitors Regulation Authority ( SRA) under the name of [ insert name of firm ] (the Firm). ( B) The Partners have appointed [ insert name of COFA ] as the Firm’s compliance officer for finance and administration ( COFA), subject to [ continued ] approval by the SRA. ( C) The parties have agreed that the COFA shall have the benefit of an indemnity from the Partners in relation to certain...

This Precedent Within this Precedent sits a blank worksheet for completion, plus a worked example explaining how this Precedent ought to be completed. The worked example presents a for an overseas procurement exercise. Please click to access Excel version of this Precedent. Please note that, as this Precedent was prepared in Excel, it therefore cannot be downloaded into Word format......