Legal Precedents

[ Insert organisation name ] is committed to preventing modern slavery and human trafficking within our organisation and to addressing the risk of it arising in our supply chain. This policy outlines the measures we will pursue and sets out what we expect from our staff and the third parties we work with. 1 What is slavery? 1.1 The Modern Slavery Act ( MSA) 2015 covers four activities: Slavery – exercising powers of ownership over an individual. Servitude – where the obligation to provide services is imposed through coercion. Forced or compulsory labour – work or services demanded under the threat of a penalty, without the person having offered themselves freely. Human trafficking – arranging or facilitating another person’s travel with the intention of exploiting them. 1.2 This policy applies to all four activities. 2 Identifying slavery 2.1 There is no typical victim, and some individuals may not realise they have been...

How to use this test This set of questions checks your grasp after attending our training on preventing bribery and corruption. When you have finished the test, return it to [ insert name ]. General Name of person completing test [ Insert name ] Role [ Insert role ] Date [ Insert date ] Multiple choice questions Select the correct answer. Question Multiple choice answers How many offences are included in the Bribery Act 2010 ( BA 2010)? (a) Three (b) Four (c) Ten What is the ‘bribing another person’ offence?......

Question Correct answer How many fresh offences are set out in the Bribery Act 2010? (b) Four What does the ‘bribing another person’ offence involve? (c) Providing or gifting something to another person so they act improperly for you ......

Thank you for instructing us to act on [ insert description of matter ]. We have sent you, under separate cover, a [ client care OR engagement ] letter along with our terms of business. This letter sets out our professional duties concerning conflicts of interest and confidentiality, and asks for your informed consent before we continue to act. Professional obligations We are authorised and regulated by the Solicitors Regulation Authority ( SRA). In line with those duties, we cannot act where there is a conflict—or a significant risk of conflict—between our separate obligations to act in the best interests of two or more clients in the same, or a related, matter, unless one of two limited exceptions applies. These exceptions apply where our clients: have a substantially common interest in relation to the matter, or a particular aspect of it, or are...

Thank you for asking us to act on [ insert description of matter ]. We have sent you, under separate cover, a [ client care OR engagement ] letter along with our terms of business. This letter sets out our professional duties regarding conflicts of interest and confidentiality and seeks your informed consent before we continue to act. Professional obligations We are authorised and regulated by the Solicitors Regulation Authority ( SRA). In line with our professional responsibilities, we cannot act where there is a conflict, or a significant risk of conflict, between our separate duties to act in the best interests of two or more clients in the same or a related matter—unless one of two limited exceptions is engaged. These exceptions apply where our clients: have a substantially common interest in relation to the matter or a particular aspect of it, or are...

How to use this test These questions check your understanding following your attendance at training on our risk management procedures. When you have completed the test, please return it to [ insert name ]... General Name of person completing the test [ Insert name ] Role [ Insert role ] Date [ Insert date ] Multiple choice questions Ring the correct answer. What do we mean by risk? (a) A hazard (b) A financial loss (c) The possibility of an adverse/unwelcome outcome (d) A regulatory breach How do we identify risks? (a) By...

Question Correct answer What is our definition of risk? (c) The chance of an adverse or unwelcome outcome How do we identify risks? (b) Using all available sources, including meeting colleagues, checking claims and complaints records, reviewing regulatory experience, analysing the breach report register and reviewing internal risk reports How is the risk rating for an identified risk calculated?......

Information barrier scheme drafted by [ insert name ] Information barrier scheme authorised by [ insert name of partner and/or COLP ] Date [ insert date ] A: Client and matter details Name of first client to whom the information barrier will apply [ insert name of first client to whom the information barrier will apply ] Summary of matter and file reference for the first client [ insert matter description for client 1 ] Partner responsible for the first client [ insert name of partner ] Name of second client to whom the information barrier will apply [ insert name of second client to whom the information barrier will apply ] Partner responsible for the second client [ insert name of partner ] Summary of matter and file reference for the second client [ insert matter...

A: Introduction In rare situations, we may represent a client despite our possession of significant confidential information concerning another client (whether current, past, or potential). If this occurs, we must still ensure sensitive information is protected between the relevant clients and we secure the informed consent of some or all parties impacted. We may, on an exceptional basis, also act for a client while holding confidential information relating to a non-client, where that information is bound by contractual or other duties of confidence......

Instructions for completion Please send the finished form to [ state who ] and keep a copy on the matter file. If you are opening a new matter for a new client, you must also complete the new client form. 1 Client and instructions Client name: [ Insert client name ] Client number: [ Insert client reference number ] Matter number: [ Insert matter reference number if your system permits numbers to be allocated before the matter is accepted ] Fee earner or team: [ Insert ] Source of matter: New instructions from an existing or former client Recommended by an existing or former client Referred by another solicitor or professional: [ state who ] ...

Subject: New client—conflicts search Please email me at once if you are aware of any reason why we should not act for [ insert client name ] of [ insert address ]. If you are not aware of any such reason, no reply is required. Please remember that conflict searches are strictly confidential, as is all information concerning clients. Conflict searches must not be shared with anyone outside the firm unless the client has given consent or we are legally compelled to disclose such information by law......

Instructions for completion When commencing a new matter for a first-time client, please complete this form together with the new matter form. Ensure both are fully completed before submission to [ state who ], and keep a duplicate copy on the matter file. 1 Fee earner and source of instructions Fee earner or team [ Insert fee earner or team name ] Name of supervisor [ Insert name of supervisor ] Source of client Please tick ☐ Recommendation from an existing/former client ☐ Referral from another solicitor or professional: [ state who ] ☐ Referral from an introducer: [ state who ] ☐ Direct approach from a prospective client ☐ Other: [ describe ] Purpose and intended nature of the business relationship [ Insert details ] 2 Client details It is crucial that we accurately record specific information in the correct format at all times. [ Ensure the client's full name and address exactly reflect the form...

FORTHCOMING CHANGE: The Information Commissioner’s Office ( ICO) has issued draft guidance on keeping employment records and on recruitment and selection. This Precedent will be updated once the ICO draft guidance is finalised. 1 Introduction 1.1 The Company acknowledges that the internet and social networking channels serve as communication tools both in the workplace and beyond it, including at home. This policy sets out the conduct we expect when social media is used, explains when we may review your social media activity, and identifies the steps we will take where it is not followed or is breached. Read this policy alongside our [ Internet, email and communications policy ], which explains how staff and representatives may use the Company’s internet and email systems and networks. 1.2 This policy applies to all individuals, including employees, workers, temporary and agency workers, contractors, interns, volunteers and...

1 General information Client name(s) [ Enter the client’s name(s) ] File reference number [ Enter the file reference number ] Matter type [ Provide a brief outline of the issue, e.g. contract dispute ] Fee earner [ Insert the fee earner’s name ] Supervisor [ Insert the supervisor’s name ] File risk rating ( Please tick) ☐ Low ☐ Medium ☐ High Name of any other parties and relationship to client [ State the name of any other parties and how they relate to the client, e.g. opponent/seller/buyer ] If matter involves a dispute, does the other party have the means to pay? [ Explain what is known of the other party’s financial position, e.g. are they insured? ] or ☐ Not applicable Does the client have any...

1 General information Project plan date [ Enter date ] Stage covered by this plan (e.g. pre-trial review or end of matter) [ Enter details ] Previous project plan date (if any) [ Enter date ] Prepared by [ Enter name of the person completing this plan ] 2 Matter information Client name(s) [ Enter client name(s) ] File reference number [ Enter file reference number ] Matter description (e.g. contract dispute) [ Enter brief outline ] Fee earner [ Enter fee earner’s name ] Supervisor [ Enter supervisor’s name ] Other notes, e.g. client vulnerabilities [ Enter any other comments ] 3 Critical dates Date [ Enter date ] — Description [ Enter description of key date, e.g. limitation date ] Date [ Enter date ] — Description [ Enter description of key date ] Date [ Enter date ] — Description [ Enter description of key date ] 4 Matter...

How to use this test These questions aim to assess what you have learnt following training on anti-money laundering and counter-terrorist financing. [ It additionally includes counter-proliferation financing. ] Once you have finished this test, please return it to [ insert name ]. General Name of individual completing the test [ Insert name ] Role [ Insert role ] Date [ Insert date ] Circle the correct response. The law and red flags Question Multiple choice answers How is money laundering defined? (a) The method by which criminal proceeds and their real source and ownership are disguised so they seem lawful (b) Requesting or receiving a bribe (c) Staff removing funds from client accounts to finance crime What does...

The law and red flags Questions – multiple choice answers 1. What is money laundering? (a) The method of altering criminal proceeds, concealing their real source and ownership, so they appear lawful 2. What is terrorist financing? (b) Supplying or collecting funds, from legitimate or illegitimate sources, for terrorist acts 3. What is proliferation financing? (c) Providing funds or financial services used, in whole or in part, for the manufacture, acquisition, development, export, trans-shipment, brokering, transport, transfer, stockpiling, or otherwise connected to the possession or use of chemical, biological, radiological or nuclear weapons 4. What are red flags? (a) Warning indicators of money laundering, terrorist financing, or proliferation financing 5. How do you need to act when looking out for red flags and other signs of money laundering, terrorist financing, or proliferation financing? (c) In the manner a...

1 Purpose and scope 1.1 Every organisation can face things going wrong or unknowingly conceal wrongdoing. We treat malpractice with the utmost seriousness and are committed to running our business with honesty and integrity, expecting all staff to uphold high standards. We welcome open dialogue from everyone who works with us and want individuals to feel confident about raising concerns. We will provide regular training for all staff on whistleblowing law and this policy. 1.2 All staff are protected by whistleblowing laws when concerns are raised in the correct way. This policy is intended to offer that route and protection. It is not important if the person raising the concern turns out to be mistaken—staff are not required to prove the allegation; however, they must reasonably believe the disclosure is in the public interest and that the information points to some form of...

Scenario A: Politically exposed person You are instructed by a new client to act on the acquisition of a football club. He is a high-net-worth individual whose wealth was generated through mining in an emerging market, later entering politics before returning to private ventures. In line with the firm’s policy, enhanced due diligence was undertaken and his status as a politically exposed person was identified. When questioned on source of funds, he stated the purchase would be financed from the sale proceeds of a former mining enterprise. Throughout the engagement he has proved challenging, frequently altering his instructions without coherent justification. A junior lawyer has also flagged a recent press report alleging he bribed officials to secure the mining concessions underpinning his fortune. In addition, during his political career he was linked to an expenses scandal......

Scenario A: Politically exposed person A prospective client has contacted you seeking assistance with acquiring a football club. He is a high‑net‑worth individual whose wealth stems from mining operations in an emerging market. He amassed considerable assets before entering public life, then moved into politics and later chose to focus again on private business interests. In line with the firm’s policy, enhanced due diligence ( EDD) was undertaken, which identified him as a politically exposed person ( PEP). When questioned about the source of funds, he stated the acquisition would be financed entirely from the proceeds realised on the sale of one of his former mining companies. Throughout the retainer he has proved challenging, repeatedly attempting to revise his instructions without any clear rationale. A junior lawyer has also drawn attention to a recent press report alleging he used bribery to obtain the mining...