Legal Precedents

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 ] [...

[ To be typed on letterhead of individual ] [ Insert name of consultancy company ] [ Insert address of consultancy company ] Date: [ insert date ] Dear [ insert name of consultancy company ] [ Insert name of consultancy company ] (the Consultancy) [ Insert name of client company ] (the Company) Consultancy agreement I refer to the [ proposed ] consultancy agreement between the Consultancy and the Company [ reference [ insert reference ] ] [ , a copy of which is attached to this letter, ] (the Consultancy Agreement), under which you are obliged to ensure that I (as the individual providing services under the Consultancy Agreement) comply with specified provisions of the Consultancy Agreement. 1 Consultancy Agreement 1.1 In consideration of receiving payment from you for my services, I send this letter to enable you to give the Company the confirmations it requires under the...

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 ]......

1 Background 1.1 This policy covers the [ trustees (‘the Trustees’) OR directors of [ insert company name ] (‘the Trustees’), acting in its role as corporate trustee ] of the [ insert name of pension scheme ] (‘the Scheme’). 1.2 Each Trustee has an obligation to act even‑handedly and to advance the aims of the Scheme, while considering the interests of the Scheme’s beneficiaries as a whole. Beneficiaries comprise [ active members, ] pensioners, deferred members, and those asserting rights through them, such as dependants. 1.3 The Trustees may, where appropriate, consider the interests of [ insert name of sponsoring employer ] (the ‘ Employer’) as sponsor of the Scheme, so long as this does not cut across their fiduciary obligations to beneficiaries. Legal advice should be obtained if it is necessary to determine whether a distinct...

Name of Trustee Information on interest or dispute (actual, potential or otherwise) Date noted Additional steps needed? ( Y/ N) Steps completed Post-review needed? ( Y/ N) Date concluded ......

To: the [ Active AND/ OR Deferred AND/ OR Pensioner ] Members (“[ the Members ]”) of the [ insert name pension scheme ] [ “the Scheme” ] From: The Scheme’s Trustees Date: [ Insert date sent to members ] Background In accordance with the Pensions Act 2004 ( Pe A 2004) and the Pension Regulator’s General Code of Practice (“the General Code of Practice”), occupational pension schemes must have arrangements ensuring that at least one third of trustees are nominated by members, unless the Scheme is exempt under legislation. The General Code of Practice states that the MNT arrangement should include a mechanism for periodic review to confirm whether it remains suitable for the Scheme, with such reviews to occur every three to five years. The General Code of Practice also indicates that the arrangement should be reassessed whenever there is a material change to the...

Name of Adviser Information on interests/conflicts (actual, potential, or otherwise) Date of declaration Further action needed? ( Y/ N) Steps taken Follow-up needed? ( Y/ N) Date of resolution......

Road Traffic Accident: [ insert place of accident ] Occurred on: [ insert date of accident ] Our Client: [ insert name of client ] Client’s Vehicle: [ insert client’s vehicle make and model ] Client’s Registration Number: [ insert client’s vehicle registration number ] Driver Deemed Responsible: [ insert name ] Vehicle: [ insert make and model ] Registration ......

Following our recent [ meeting OR telephone conversation ], I have prepared your witness statement. I am enclosing the statement for your review and would appreciate it if you could read it thoroughly to confirm the contents provide a true and precise description of the accident. [ If you are able to please also include a plan, map, or sketch of the location where the accident happened......

1 Authority to allot shares—no distinction made between different classes of shares (general or specific authority) 1.1 Except to the extent that these articles, or from time to time an ordinary resolution passed by the company, authorise them, the directors of the said company must not at any time exercise any of the company's powers to allot shares, to grant rights to subscribe for shares, or to convert any security into any shares in the company......

Agreement [ Name of employer ] (the Employer), Company registration number: [ insert Employer’s company number ] [ Employer’s registered office address ] Order/ Contract Ref: [ insert order/contract number ] Date: [ insert date ] This Contract is issued subject to the terms and conditions as described below......

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......