Legal Precedents

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...

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 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?......

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. ......

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

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...

We conduct our business [ es ] with honesty. Everyone must collaborate to keep our business [ es ] remain [ s ] free from bribery and corruption at all times. This form is vital to that aim. See also [ insert, eg our Gifts and hospitality policy ] . Use this form in all instances where a gift or hospitality is offered or accepted without exception [ over the limit of £[ insert amount ] ] .......

Kindly please complete and email this form to the [ insert details of person nominated to receive risk reports ]. If you would like to make an anonymous report, you can. Simply leave your name off the ' Person making report' section of this form and submit it by a non-electronic method, eg internal post......

1 Policy statement 1.1 The policy of [ firm name ] (‘the firm’) is to conduct its affairs in accordance with the highest professional standards. We pledge to act professionally, fairly and with integrity in every business relationship and transaction. This document explains how we manage undertakings. 1.2 The purpose of this policy is to: 1.2.1 outline our duties, and those of individuals working for us, in observing and upholding our position on undertakings; 1.2.2 provide information and guidance on how to deal with undertakings. 2 Definitions In this policy: 2.1 third party • means any individual or organisation you come into contact with during the course of your work with the firm—this includes actual and potential clients, other solicitors, suppliers, distributors, business contacts, agents, advisers, and government and public bodies including their advisers, representatives and officials, politicians, and political parties; 2.2...

1 Introduction Our policy is to ensure that, should our operations be disrupted, we restore full functionality at the earliest opportunity. In pursuing this, we seek to safeguard our employees, clients, and any other stakeholders we engage with. This document sets out the steps we will take in the event of a business disruption. If you have queries or concerns about this plan, please contact [ insert name of appropriate contact here ]. 2 Scope of the Business Continuity Plan ( BCP) 2.1 This BCP covers all personnel within [ every business unit OR insert which department(s) or office(s) the plan covers ]. 2.2 Situations that would trigger this plan include: flood; fire; theft; IT outage; communications breakdown (e.g. telephone system); partial or total loss of access to premises; severe weather; loss of critical staff; terrorism; cyber security or cybercrime incident; public health events such as a pandemic; [ [ insert other incident ]. ] 2.3 We have...

Please click for the register. Please note the register was produced in Excel, meaning it cannot be downloaded into Word. You should reflect on how details of gifts and hospitality are to be centrally recorded......

Internal Suspicious Activity Report ( SAR) Form This internal suspicious activity report ( SAR) form has been crafted to make the process of submitting SARs to the nominated officer as straightforward as possible. Its aim is simplicity; it is not intended to be time‑consuming and should not feel daunting. Nevertheless, you are not obliged to use this form to file a suspicious activity report. If you would prefer an initial, informal discussion with the nominated officer—either to help decide whether a formal SAR ought to be submitted, or to receive support in drafting and submitting a formal SAR—you are very welcome to proceed that way. Please note that reporting to the nominated officer, in whatever form, is the only means of ensuring your personal position is protected under the Proceeds of Crime Act 2002 and the Terrorism Act 2000, should your...

1 Introduction 1.1 We conduct our business [ es ] with integrity. Collectively, we must ensure our business [ es ] [ remains OR remain ] free from financial crime, including bribery, corruption, the facilitation of tax evasion, fraud, and related offences. This policy is a central element of that commitment and binds us all. It governs the engagement of agents, intermediaries, and other associated persons who deliver services to [ insert organisation’s name ] or act on our behalf. It explains the due diligence required before appointment and throughout the relationship to confirm their involvement does not improperly influence our business. 1.2 This policy sits alongside, and should be read together with, our related financial crime prevention policies, for example: 1.2.1 Anti-bribery and corruption policy; 1.2.2 Tax evasion facilitation prevention policy; 1.2.3 Fraud risk management policy [ ; OR . ] 1.2.4 [ [...