Legal Precedents

Substantial cash transactions can indicate money laundering, terrorist funding, or proliferation financing. Do not take any monies (cash or otherwise) from a [ customer OR client ] until the [ customer OR client ] due diligence ( CDD) checks have been finalised. While no statutory cap exists on cash, our internal cash policy states you must not receive cash [ over the limit of £[ 250 ] ] in the office or paid straight into our bank......

1 Priority list of functions Key function Key elements of business required e.g. case management: Access to the [ online case or document ] management platform Internet access Diary of key dates Paper files Client contact details Telephones e.g. processing payments: Access to online accounting system Access to online banking and bank fobs Passwords and other credentials to log in Internet connection Telephone Use of a PC or laptop e.g. client advisory services: Access to the [ case or document management system ] Internet access Diary of key dates Paper files Client contact details Telephones 2 Individual risk analysis 2.1 Flood 2.1.1 Flood—first 24 hours Effects on functions/services Resources required Data required Key staff Action points Cost Additional information [ insert details...

1 Introduction 1.1 We conduct our business [ es ] with integrity and fairness. All of us must work together to ensure our business [ es ] remain [ s ] entirely free from bribery and corruption. This policy is central to that commitment, and we are each bound by it. 1.2 [ Insert organisation’s name ] is proud to support charities and worthwhile causes, and remains committed to acting with the highest standards of probity as it continues to provide that support. 1.3 Bribery and corruption are, however, areas where how things look can sometimes matter more than what is true. Improper payments can be concealed as charitable or political donations. Even if a donation is offered with wholly innocent motives, if an external observer could reasonably place an adverse interpretation on it, the business, and the individual receiving it, are put at...

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The following table contains our assessment of business continuity risk within our organisation: Risks are set out with their impact (low/medium/high), likelihood (low/medium/high), and the steps already in place to lessen, avoid, or transfer them. Flooding Impact: High; Likelihood: Low. The chance of flooding affecting the firm’s office is slight. We can relocate to a temporary workspace if an incident occurs at our premises. The office occupies the third floor of the building. It is a serviced space overseen by the landlord. Routine inspections of pipework, boilers and the water supply take place under the office’s overall maintenance programme. Additional regular checks of the pipework, boilers and water supply are carried out by the landlord. The firm owns the property and uses all three storeys. Archived records are kept in the basement. Although flood risk is low,...

1 Instructions for completion This form is to be completed by anyone who needs approval for referral or fee-sharing arrangements, including those relating to personal injury and related claims. Once finished, please promptly submit the completed form to [ state who, eg the COLP ] by [ insert details of how to submit, eg via email ]......

1 General information Name of reviewer(s) [ Enter full name(s) ] Review date [ Enter date ] Date of previous review [ Enter date ] 2 Review and findings Item assessed Results Register of authorised social media platforms [ Enter details, or attach the up-to-date list to this form ] Has the register altered since the prior monitoring date? ☐ Yes [ enter details ] ☐ No If yes, have colleagues been promptly notified? ☐ Yes ☐ No (create an action in section 3) Have our social media efforts stayed fully on brand and delivered uniform messages?......

1 Introduction 1.1 We regard the safeguarding of confidentiality and information security as of utmost importance across the organisation at all times. 1.2 This policy aims to: 1.2.1 guard against possible confidentiality breaches and lapses in the integrity or availability of information; 1.2.2 ensure our information assets and IT resources are shielded from damage, loss, or misuse; 1.2.3 reinforce our data protection policy by making certain all staff know and follow relevant law and our internal procedures governing the processing of personal data; 1.2.4 raise firm-wide awareness and understanding of information security requirements and the duty of staff to safeguard the information they handle. 2 Roles and responsibilities 2.1 Information security is relevant to every member of staff. Nevertheless, the [ state who ] holds overall accountability for the firm’s information management and security matters, which includes: 2.1.1 overseeing and applying this...

1 Introduction Proof of identity may arise in various formats and be drawn from multiple origins. Whichever materials you rely upon, they must leave you reasonably confident of an individual’s identity. Whatever approach you adopt must provide reasonable assurance of the client’s identity, in line with the risks to your business. The papers you seek from clients will vary according to the client’s profile and your appraisal of the risk they pose to your practice. That may mean accepting a variety of documents. The Money Laundering, Terrorist Financing and Transfer of Funds ( Information on the Payer) Regulations 2017 ( MLR 2017), SI 2017/692, as amended, outline the risk indicators to consider when undertaking client due diligence, alongside the AML Guidance for the Legal Sector, issued by the Legal Sector Affinity Group and endorsed by HM Treasury. This Group consists of AML...

Conflicts, confidentiality and disclosure policy Our Conflicts, confidentiality and disclosure policy outlines our stance on when we may proceed in conflict situations. We also provide guidance for specific [ departments OR types of work ]. This guidance demonstrates how the policy might operate in varying scenarios, but it is not meant to be comprehensive or inflexible. For each matter addressed by these guidelines we must assess whether a conflict exists and, if it does, whether we are able to act......

Name Calls Contact number Add name (e.g. CEO or Senior Partner) or add name (e.g. Head of compliance or Head of legal) – enter number. Add name (e.g. CEO/ Senior Partner or Head of compliance/ Head of legal) linked to: Office manager, Risk manager, HR manager, Finance manager, Marketing/ PR manager, IT manager, Heads of departments, Other – enter number for each. For managers, list the related teams and numbers: Office manager – Postroom staff, Reception staff, Housekeeping staff, Library staff; Risk manager – Risk and compliance staff; HR manager – HR staff; Finance manager – Finance staff; Marketing/ PR manager – Marketing/ PR staff; IT manager – IT staff; Heads of departments – Staff within their department; Other – Other – number. ......

Our policy on conflicts, confidentiality and disclosure sets out our broad approach to when we may act where a conflict could arise. We also provide guidance for certain departments or different types of work. This guidance demonstrates how the policy might apply in various circumstances, though it is not meant to be comprehensive or inflexible. For each scenario described, we must decide whether a conflict is present and, if it is, whether we are able to proceed 1 Taking instructions out of normal office hours 1.1 When instructions are received outside standard office hours, we will undertake a conflict check at the earliest possible opportunity 2 Acting against clients we have defended 2.1 We will not represent a client in criminal proceedings and then act against them in related civil proceedings......

Content title [ Enter the content title ] Type of content [ Enter content type ] Writer [ Enter the author’s name ] Department...

1 Executive summary/introduction 1.1 This business plan arises from a sequence of conversations among the partners. Every partner is accountable for making sure their team backs the aims set out in the plan. 1.2 The plan will be assessed on a [ monthly ] cycle, and advancement against the objectives will be considered at partnership meetings. 1.3 Although the plan’s details are not shared beyond the [ partnership ], we ask [ partners ], where suitable, to talk through our priorities with their team members. 1.4 The plan focuses on delivering a limited set of key objectives over the coming year. [ These objectives are intended to help the firm further strengthen its position by diversifying into new areas of law. ] 1.5 Information on these objectives, and the means by which they will be...

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1 Introduction 1.1 We conduct our businesses with integrity at all times. Everyone must act collectively to keep our operations free from bribery and corruption. This policy sits at the heart of that commitment and binds us all together. 1.2 Nearly all companies routinely offer some level of corporate hospitality to current or prospective business partners or clients. 1.3 Gifts and hospitality cover many practices, ranging from branded pens to chartered flights overseas, as well as lavish (and costly) meals and entertainment of value. We must make sure such hospitality does not slip in any way into bribery or corruption of any kind. 1.4 The difficulty is that the Bribery Act 2010 gives little explicit guidance on what is acceptable and what is not. As a result, understanding what you may do, and what you must avoid, can be...

A balance sheet provides a simple picture of the company’s financial position at any point in time, essentially showing what the business is worth...

Our Conflicts, confidentiality and disclosure policy Our Conflicts, confidentiality and disclosure policy defines our broad stance on when we may appropriately act where conflicts arise. We also provide guidance for [ each department OR different types of work ]. These materials show how the policy may operate across varied scenarios, yet they are not meant to be comprehensive or inflexible......

1 Preliminary data Assess information Reply Basis for assessment ( Please select every option that fits) ☐ Grievance ☐ Standard file check/review ☐ Fee earner enquiry ☐ AML inspection ☐ Alternative ([ add rationale ]) Does the client/matter pose high risk?......

A yearly or monthly budget for income and outgoings is useful only when actively tracked...