Legal Precedents

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?......

Subject to licence We acknowledge the Tenant’s application for a licence to assign the Lease. Please note that any consent will only be effective by a formal licence to assign executed as a deed. The Landlord has not yet reached a decision. Any consent, if granted, will be conditional on: Completion of a formal licence to assign [ and an authorised guarantee agreement, both ] executed as a deed; Provision of any: 2.1 satisfactory accounts and references; and/or 2.2 guarantees or other security; as the Landlord requires; No sums being outstanding under the Lease at the time any licence is granted; Payment, before completion, of the Landlord’s legal [ and surveyors’ ] fees relating to the application; Any existing breach of the Lease being remedied before completion of the...

This Deed is entered into on [ insert day and month ] 20[ insert year ] by parties set out below Parties [ Insert name of Chargor ], a company registered in England and Wales under number [ insert company number ], with its registered office at [ insert address ] (the Chargor); and [ Insert name of Lender ], whose address is [ insert address ] (the Lender). Recitals: The Lender has agreed to make available a loan facility to the Company on the terms and conditions that are set out in the Facility Agreement (as defined below). A condition precedent to making the loan facility available to the Company is that the Chargor executes this Deed to grant security in favour of the Lender in respect of the Secured Obligations (as defined below)......

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......

Application notice in insolvency proceedings (corporate) INSOLVENCY ACT APPLICATION NOTICE Use with an application notice compliant with the Insolvency ( England and Wales) Rules 2016, SI 2016/1024—see Form IAA, IR 2016 r1.35 VAR... Case No: [insert]. Court: [identify court or hearing centre as per heading]. In the matter of [company] and the Insolvency Act 1986. Between [ Applicant(s)] and [ Respondent(s)]... Made under section 127 Insolvency Act 1986. Applicant(s): [names/addresses]. Respondent(s): [names/addresses]. Concerns: [company details]. Heard by [level of judge] at [court/hearing centre]. Within existing insolvency proceedings? YES/ NO. Court reference: [insert]... Declaration that [the disposition(s), e.g. payment(s) in Schedule A] [is/are] void under section 127... Restoration: (i) repayment of the Schedule A sum(s) and/or such sum(s) as the court thinks fit; (ii) interest under section 35A Senior Courts Act 1981 at such rate and for such period as the court sees fit... Costs of and...

Although both liquidators and administrators may now pursue fraudulent trading actions under sections 213 and 246ZA of the Insolvency Act 1986 respectively, this Precedent is prepared from the standpoint of a liquidator pursuing such a claim......

This Deed is dated [ insert day and month ] 20[ insert year ] Parties [ Insert name of Chargor ], a company registered in England and Wales under number [ insert company number ], whose registered office is at [ insert address ] (the Chargor); and [ Insert name of Lender ] of [ insert address ] (the Lender). Recitals: ( A) The Lender has agreed to provide a loan facility to the Chargor on the terms and conditions contained in the ‘ Facility Agreement’ (as defined below). ( B) Availability of the loan facility is conditional upon the Chargor entering into this Deed for the purpose of providing security in favour of the Lender in respect of the Secured Obligations (as defined below)......

ARCHIVED [ insert name and address of defendant or defendant's legal representative ] [ insert date ] Without prejudice—save as to costs Dear [ insert organisation name ] [ Pre-action ] Part 36 offer [ Claimant v Defendant — Case number ] We write regarding the above [ potential ] matter, in which we represent [ insert name of your client ]. [ Whilst our client remains satisfied it is entitled to [ insert brief nature/details of dispute ], owing to [ insert explanation as appropriate ] we are instructed to advance an offer pursuant to Part 36 of the CPR (‘the Offer’). To avoid any doubt, the Offer is made with the intention that the consequences set out in Section I of Part 36 will apply. OR Our client wishes to conclude this matter on an amicable basis, and we are instructed to put forward an offer under Part 36 of the CPR...

ARCHIVED Private & confidential [ insert name and address of client ] [ insert date ] Dear [ insert name of your client ] [ insert the case heading/description of the case if pre-action ] Settlement offers ( Part 36 offer) We have been reviewing how best to resolve this matter by agreement and the range of mechanisms available to achieve that outcome. [ You may recall that one such mechanism was a Part 36 offer. The aim of this letter is to outline, in greater detail, the potential benefits and drawbacks of making such an offer. ] What is a Part 36 offer? A Part 36 offer is a formal written proposal made to the defendant to bring the issues in dispute to an end. It can cover the whole claim, a defined part of it, or particular issues, allowing it to be shaped to address the dispute as...

ARCHIVED: Private & confidential [ insert name and address of addressee ] [ insert date ] Dear [ insert name of client: defendant ] [ insert case heading ] Further to our discussion [ insert when you had the discussion ], I have now received a Part 36 proposal to settle from [ insert name of claimant ], and enclose a copy. To assist with your decision on whether to accept, I have outlined what a Part 36 offer involves, what the claimant has put forward to you, and the implications of accepting or declining it. [ I am of course very happy to talk you through the issues again if that would be helpful. ] Please note that the fact of this offer, and any particulars, will not be disclosed to the court until the claim has concluded, so it will not influence the result at trial. Its...

This Deed is dated [ insert day and month ] 20[ insert year ] and is entered into by the parties set out below. Parties [ insert name of Chargor ], a company registered in England and Wales under number [ insert company number ], with its registered office at [ insert address ] (the Chargor); and [ insert name of Lender ] of [ insert address ] (the Lender). Recitals: The Lender has consented to provide a loan facility to the Chargor on the terms and conditions set out in, and subject to, the Facility Agreement (as defined below). It is a condition precedent to the availability of that facility that the Chargor enter into this Deed for the purpose of granting security in favour of the Lender in respect of the Secured Obligations (as defined below). ......

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? ......