Legal Precedents

1 General information Review date [ Enter date ] Reviewer(s) [ Enter name(s) ] 2 Review and findings Are your policy and procedures for instructing third parties current and suitable for their purpose? ☐ Yes ☐ No (record an action at 3 below) Is your register of third parties up to date? ☐ Yes ☐ No (record an action at 3 below) Are you confident that your arrangements for engaging third parties function as intended, particularly with respect to: assessing and approving third parties? complying with equality and diversity duties? complying with data protection duties?......

1 General information Date of review Person(s) carrying out review [ Enter date of review ] [ Enter name(s) ] 2 Review and findings Issue under review Findings Are your introductions to third parties policy and procedures current and fit for purpose?......

A: General information Date the monitoring review occurred Individual who completed the monitoring review B: Consolidated data Criteria covering the past 12 months Number of suspected Accounts Rules compliance breaches reported internally to the COFA Number of confirmed Accounts Rules compliance breaches (serious and non‑serious) Number of serious Accounts Rules compliance breaches Number of Accounts Rules compliance breaches reported to the SRA If this differs from the ‘ Number of serious compliance breaches’, explain why C: Data by compliance breach category Category of compliance breach during the last 12 months A: Client funds applied for a non‑permitted purpose B: Client funds paid into the office account C: Client funds wrongly withheld from the client account D: Incorrect withdrawal from the client account E: Delay in paying in client funds F: Client funds not...

1 General information Date of annual review [ Insert date ] Person conducting annual review [ Insert name ] 2 Review and findings Do your client care letter and/or terms of business meet the information obligations set out in: the SRA Standards and Regulations the Legal Ombudsman’s Scheme Rules guidance issued by the Law Society See Practice Note: Client care letter and terms of business—information requirements. ☐ Yes ☐ No If no, add an action in section 3 below to resolve this. Do your client care letter and/or terms of business include the appropriate cancellation wording where the Consumer Contracts Regulations 2013 apply ☐ Yes ☐ No If no, set an action in section 3 below to address this. Do your client care letter and/or terms of business include a statement of your commitment to equality and diversity, and inform clients they may request a copy of your...

A: General information Review date [ Insert date ] Person(s) carrying out the review [ Insert name(s) ] B: Review and findings Have you tracked how staff use the internet and your electronic communications system? ☐ Yes ☐ No — ensure you set an action point in section C If yes, do you confirm that any monitoring is undertaken in line with your Internet and electronic communications policy and any Impact assessment you have completed? ☐ Yes ☐ No — ensure you set an action point in section C Are your Internet and electronic communications policy and any Impact assessment up to date and suitable for purpose?......

1 General information Review date: [ Insert date ] Reviewer(s): [ Insert name(s) ] 2 Review and findings Subject assessed Results Is your Advocacy, litigation and ADR policy current and suitable for its intended purpose? ☐ Yes ☐ No (note an action at 3 below) Have all pertinent staff received training on their obligations to the court and your Advocacy, litigation and ADR policy?......

A: General information Date of review Person(s) carrying out the review B: Review and findings Do you need to revisit or compile a register of individuals authorised to disclose the firm’s client bank account particulars and/or the duties associated with releasing such details? ☐ Yes—make sure you note an action in section C below ☐ No Do you perform a check of the suspense ledger as part of the month‑end routine? ☐ Yes ☐ No—make sure you note an action in section C below to review the suspense ledger at set intervals Do your month‑end checks indicate the suspense ledger is being used: — for long‑term monies (over 30 working days)? — for identifiable funds? — as a pooled holding point for small balances? ......

1 General information Review date [ insert date ] Reviewer’s name [ insert name ] Time period covered by this review [ Insert period, e.g. past quarter or past year ] 2 Review and findings Is your residual balance register current? ☐ Yes ☐ No ( If no, make sure you create an action point in section 3) For every outstanding residual balance on the register, have you: made sensible attempts to identify the rightful owner of the funds? taken appropriate steps to return the funds to the rightful owner? kept a record of the actions taken to return the funds to the rightful owner and retained those records? ......

1 General information Date of review: [ Insert date ] Person(s) conducting review: [ Insert name(s) ] 2 Review and findings Item reviewed Outcome If you hold a governance arrangements document outlining your governance structure and key governance roles/areas, is this document current in respect of: how your governance is configured what each governance role/area covers who is accountable for each role/area ☐ Yes ☐ No (set an action point at 3 below) Is your governance structure chart up to date regarding: how your firm is organised......

A: General information Review date [ insert date ] Reviewer(s) [ insert name ] B: Review and findings Do you need to reassess when you pay interest, to make sure you credit clients or third parties with a fair amount of interest on any client money you hold for them? ☐ Yes—make sure you add an action point in section C below ☐ No Do you need to revisit how you work out interest, to ensure you pay a fair amount across the full period the funds are held?......

1 General information Review date [ Insert date ] Person(s) carrying out the review [ Insert name(s) ] 2 Review and findings Is your Website management policy, along with its processes, current and suitable for purpose? ☐ Yes ☐ No— be sure to record an action point in section 3 below Is your Website privacy policy current and appropriate for its purpose? ☐ Yes ☐ No— be sure to record an action point in section 3 below Are your Website terms and conditions current and appropriate for purpose?......

1 General information The review date [ Insert date ] Person(s) running review [ Insert name(s) ] 2 Review and findings Is the Supervision structure chart up to date? ☐ Yes ☐ No If no, ensure an action point is set in section 3 Are you confident that your Supervision policy accurately reflects supervisors’ roles and responsibilities within your firm?......

1 General information Monitoring review date [ Insert date ] Individual carrying out the monitoring review [ Insert name ] 2 Consolidated data Criteria During the last [ insert period, eg quarter ] Across the previous 12 months Count of routine file audits/reviews mandated under supervision/risk management procedures [ Insert number ] [ Insert number ] Count of routine file audits/reviews completed [ Insert number ] [ Insert number ] Count of closed file audits/reviews completed [ Insert number ] [ Insert number ] Total count of file audits/reviews completed (routine plus closed file audits) [ Insert number ] [ Insert number ] 3 Data by file......

This Precedent functions as a centralised register for all your compliance, human resource and health and safety policies, plans and procedures, providing a record that identifies who is accountable for each, along with when and why it was last updated, and the manner in which those updates were communicated to staff. Please note that this register has been prepared in Excel and, as such, it cannot be downloaded into Word......

1 General Date of meeting [ Insert date ] Persons in attendance (name(s) and role(s)) [ Insert name(s) and role(s) ] 2 Review of the business plan Review of the legal form and activities of the firm [ Provide your overall judgement on whether the business plan faithfully represents your firm’s legal structure and the activities you carry out. If it does not, outline the action points required, including the intended outcome, who is accountable for each action, and the timescale/deadline to be recorded in section 3. ] Check details of key people and professional advisers identified in the plan are current [ Confirm that the information is up to date. If any details are no longer current, set out the action points,...

1 General information Review date [ Enter date ] Person carrying out the review [ Provide the name of the reviewer and their role ] 2 Review and findings Fill in the table using your Outsourcing register alongside the outcomes from auditing each individual outsourcing supplier since the previous periodic review. Measure / Position Have all outsourcing suppliers been audited at least once during the last rolling 12-month period? Yes No (if No, create an action in section 3 to audit any suppliers that remain unaudited) Do our client care letter/terms of business contain the appropriate client disclosure wording? ......

A: General information Date of the annual review Individual(s) carrying out the annual review B: Review and findings Do you need to reassess which members of your firm are suitable to act as signatories on the client account? ☐ Yes—remember to record an action in section C below ☐ No Is the Register of approved signatories current? ☐ Yes ☐ No—remember to note an action in section C below If you have set a threshold that triggers a requirement for two signatures, do you need to revisit that threshold?......

This presentation serves as a tool to train the employees in your law firm on your information management and security policies and procedures. The training materials are customisable. This version of the training pack is provided in Power Point and, for that reason, it cannot be downloaded to Word from this page here......

1 General information Review date [ Enter date ] Person(s) leading review [ Enter name(s) ] 2 Review and findings Is the Risk register up to date? □ Yes □ No—if not, add an action in Section 3 to update the register Do any individual risks require further review?......

1 General information Review date: [ Insert date ] Reviewer(s): [ Insert name ] 2 Review and findings Have you completed a new risk evaluation and a thorough risk assessment? Yes No If no, be sure to add an action in section 3 to carry out a new risk evaluation and detailed risk assessment. Are your business continuity plan ( BCP) and procedures current and fit for purpose? Yes No If no, ensure an action is set in section 3 to bring your policy and processes up to date. Is your key contact list up to date? ......