Legal Precedents

This presentation has been designed as an aid to train your staff on your whistleblowing policy and procedures. This presentation serves as a resource to train your employees on your whistleblowing policy and procedures. The training materials are customisable. This version of the training pack is provided in Power Point format and therefore cannot currently be downloaded as a Word document from this page......

A: General information Monitoring review date [ insert date of monitoring review ] Individual responsible for the monitoring review [ insert name ] B: Consolidated data Criteria During the last [ insert period, eg month ]: [ insert number ]; Across the previous 12 months: [ insert number ] — suspected compliance breaches notified internally to the COLP During the last [ insert period, eg month ]: [ insert number ]; Across the previous 12 months: [ insert number ] — confirmed compliance breaches (serious and non-serious) During the last [ insert period, eg month ]: [ insert number ]; Across the previous 12 months: [ insert number ] — serious compliance breaches During the last [ insert period, eg month ]: [ insert number ]; Across the previous 12 months: [ insert number ] —...

1 Background information Name of individual finalising this record [ Insert name ] Compliance breach reference code [ To be completed by the person carrying out the assessment ] Client’s name (where client-related) [ Insert name ] Client reference (where client-related) [ Insert reference ] Date the suspected compliance breach was identified [ Insert date ] Date the suspected compliance breach was reported [ Insert date ] Date the compliance breach assessment form was completed [ Insert date ] Name of the individual who reported the suspected breach [ Insert name ] How the report was received Choose one of the options below: ☐ Sent directly to COLP or COFA under the compliance breach reporting policy ☐ Whistleblowing report under the whistleblowing policy ☐ Submitted straight to HR ☐...

[ Insert complainant’s name ] [ Insert complainant’s contact address ] Our ref: [ Insert complaint reference number ] Dear [ Insert complainant’s name ] Your complaint I am writing to confirm that I am still handling your complaint, received on [ insert date complaint received ], in line with our attached [ Complaints policy ]. Please provide the following information or documents by [ insert date ] to assist my investigation: [ insert details of further information/documentation required ] [ insert details of further information/documentation required ] [ insert details of further information/documentation required ] [ insert details of further information/documentation required ] I will then reply to your complaint with my decision or any proposed action. I aim to do this within [ insert number, eg 21 ] days from the date of this letter. Please let me know if you need any...

[ Insert complainant’s name ] [ Insert complainant’s contact address ] Our ref: [ insert complaint reference number ] Dear [ Insert complainant’s name ] Your complaint I am writing to confirm that your complaint, received on [ insert date complaint received ], continues to be managed in line with the enclosed [ Complaints policy ], and to share an update on progress to date. [ asked for and obtained a copy of your file ] [ carefully examined the file ] [ carried out interviews with [ insert details of any interviews conducted ] ] [ held internal meetings with [ insert details of any internal meetings ] ] [ held external meetings with [ insert details of any external meetings ] ] [ taken receipt of from you [ insert details of any additional...

1 General details Complaint reference number [ Insert number ] File reference number (where applicable) [ Insert number ] Complainant’s name [ Insert name ] Case handler [ Insert name ] Date received [ Insert date ] Complaint type [ Insert category ] 2 Details of the investigation Sequence of events leading to the complaint [ Insert list of events ] Inquiry actions undertaken [ Insert investigative steps taken, e.g. reviewed the file, held internal and/or external meetings, examined further documentation, etc ] Internal meetings record (brief summary, minutes and/or reference number and where the papers are held) [ Insert details of internal meetings ] External meetings record (brief summary, minutes and/or reference number and where the papers are held) [ Insert details of external meetings ] Materials referenced in resolving the...

1 General Complaint Complaint reference number [ Enter number ] File reference (if applicable) [ Enter number ] Complainant’s name [ Enter name ] Person handling the complaint [ Enter name ] Date the complaint was received [ Enter date ] Complaint category [ Enter category ] 2 Complainant’s name, contact address and contact details [ Enter details ] 3 Short summary of the complaint [ Enter brief summary ] 4 List of each specific issue complained about To maintain confidence in our complaints handling, we must respond to the precise points raised and avoid covering issues the client has not highlighted. [ Enter details ] 5 Remedies requested by the complainant [ Enter details ] 6 Date by which we have agreed to respond [ Enter date ] 7 Details of any immediate action taken [ Enter details ] 8 Complaint added to complaints register? ☐ YES ☐ NO......

[ Insert complainant’s name ] [ Insert complainant’s contact address ] Our reference: [ insert complaint reference number ] Dear [ insert complainant’s name ], I am writing to confirm that my review of your complaint, received on [ insert date complaint received ], has now been completed. 1 Your complaint The particular concerns you raised were: [ insert details ] I carried out the following enquiries: [ insert details ] 2 Our decision Having considered the findings from these enquiries, my conclusion is: [ insert details ] 3 Remedy The remedies I consider suitable are: [ insert details ] Please contact me by [ insert date ] to confirm whether you agree to these proposals. If you accept the proposed remedies, I will arrange for the following to take place: [ insert details ] 4 Complaining to the Legal Ombudsman We have not been able to resolve your complaint through our...

[ Insert complainant’s name ][ Insert complainant’s contact address ] Our ref: [ insert complaint reference number ] Dear [ Insert complainant’s name ] My name is [ insert name of person dealing with complaint ] and I am [ insert job title of person dealing with complaint ] with this firm. I will be dealing with your complaint that we received on [ insert date complaint received ]. You may email me at [ insert email address of person dealing with complaint ] or call me on [ insert telephone number of person dealing with complaint ]. [ Insert name of firm ] is dedicated to providing a high quality legal service and to dealing with all our clients fairly......

1 General information Review date: [ Insert date ] Reviewer(s): [ Insert name(s) ] Period covered by the review: [ Insert time period for the review, e.g. Q1 of 20XX or the last 12 months ] 2 Data Complaint category Total complaints received Total complaints resolved Complaints upheld as justified Complaints referred to Le O Complaints relating to discrimination Conduct: [ Insert number ] [ Insert number ] [ Insert number ] [ Insert number ] [ Insert number ] Costs information deficient: [ Insert number ] [ Insert number ] [ Insert number ] [ Insert number ] [ Insert number ] Costs excessive: [ Insert number ] [ Insert number ] [ Insert number ] [ Insert number ] [ Insert number ] Criminal activity: [ Insert number ] [...

This presentation has been designed as an aid to train your staff on their duties to the court when conducting litigation It covers tribunals and alternative dispute resolution. These training resources are customisable......

[ Name of client ][ Address of client ][ Date of this letter ] Dear [ insert name of client ] [ We are now at a point in your matter where OR Now that we have concluded your matter ], we consider it to be in your best interests to [ set out what you wish to introduce the client for, eg take advice on tax planning ]. We have already discussed this and you have confirmed that we will refer you to [ state name of third party to whom you have introduced the client ]......

Monitoring every single compliance area each month is not feasible. We adopt a risk-based method, rotating the compliance areas we examine month by month. Consequently, our approach shifts according to the specific compliance topic under review at that time. From time to time, we will also assess compliance areas in response to particular events, e.g. following a compliance breach or when new guidance is issued by a regulator......

Date of meeting Persons in attendance [ Insert date ] [ Provide attendee information, including name(s) and role(s) ] Documents considered The following papers and data were reviewed: 1.1 [ insert, eg the Complaints register ] 1.2 [ insert, eg the Complaints—periodic review record ] 1.3 [ insert other ] Consideration of documents and data Number of complaints in the past: —quarter —six months —year [ Insert numbers ] Complaints outstanding on the meeting date [ Insert number ] Legal Ombudsman matters: current position and details [ Insert details ] Any expected or ongoing negligence claims tied to a complaint [ Insert details ] Noted patterns or trends over the last: —quarter —six months —year [ Insert patterns or trends ] Complaints data or insights released by the Legal Ombudsman over: —quarter —six months —year [ Insert details ] ...

This Precedent This Precedent is designed for recording sanctions match reports received, capturing the first actions taken and the outcomes reached to date. Click to access an Excel edition of this log. Be aware this register was created in Excel, so it cannot be exported into Word at present......

Instructions on completing this form You are required to fill out this form entirely, include all necessary supporting papers (as detailed below), and promptly forward it to [ your sanctions representative ] if you identify a potential target match via our financial sanctions screening. Ensure this form is lodged before you undertake any further action at the earliest opportunity......

1 Introduction 1.1 We have conducted an organisation-wide review to pinpoint where we are most likely to breach financial sanctions or deal with customers subject to such measures. This document sets out the risks identified and the conclusions drawn, together with how we will mitigate them. The individual accountable for this assessment is [ insert name/role ]. 1.2 Our review considered: 1.2.1 our customers and their counterparties; 1.2.2 the geographical areas we operate in [ , including sanctions regimes in other countries in which we operate ] ; 1.2.3 the [ services AND/ OR products ] we offer; 1.2.4 our internal or operational risks. 2 Overview of the organisation Size and nature of the organisation [ Insert details ] Staff [ Insert details eg headcount, composition of staff base, staff turnover, supervisory structure and any other relevant employee metrics ] ...

1 Introduction This financial sanctions policy outlines the procedures we have put in place to meet financial sanctions obligations under the UK sanctions regime that apply to our business across each jurisdiction in which we operate. 2 What are financial sanctions? Financial sanctions are temporary international restrictions intended to: encourage a shift in the behaviour of a specific country or regime; apply pressure on certain countries or regimes to achieve stated objectives; prevent and suppress the financing of terrorism. Financial sanctions are also used as an enforcement measure of last resort when international peace and security have been threatened. They limit dealings in money and the provision of financial services, and can include prohibiting transfers of funds to or from certain countries, individuals, or entities. They are designed to create an adverse effect on persons (individuals or corporate entities) that are designated or, for some...

This Precedent Use this template to catalogue all ICT resources, together with any related maintenance or upgrade requirements and/or costs that are scheduled or expected within a particular financial year. Please click to download an Excel version of this Schedule here now. Resource entry Maintenance costs (£) Upgrade required? ( Yes/ No) Upgrade cost (£) Other expenses (eg lost fee-earning time during implementation and/or training) (£) Cost–benefit review (is it viable?) ( Yes/ No/ N/ A) Target date (eg Quarter 2) Total overall cost (£)......

Please select for an Excel copy of this timetable...