Legal Precedents

1 Our contract with you These Terms of Business (as amended from time to time) apply to all work we carry out for you. They are important—please read them and keep them somewhere safe for future reference. Each time you instruct us on a new matter, we will issue a letter confirming your instructions and outlining the scope of our work, our fees, and the relevant contact details. This is the Engagement Letter. These Terms of Business should be read alongside the Engagement Letter—together they constitute the contract between us. If there is any conflict between these Terms of Business and the Engagement Letter, the Engagement Letter will take precedence. [ Although your ongoing instructions in this matter will indicate your acceptance of these Terms of Business, we request that you sign, date and return one copy for our...

1 Amount of interest We will credit a reasonable amount of interest to clients or third parties on any client funds we are holding for them. 2 Circumstances in which interest will not be paid We will not pay interest: 2.1 on funds we are directed to keep outside of a client account in a manner that earns no interest, eg cash held in our safe; 2.2 where the amount of interest, as assessed under this policy, falls below £[ 30 ] [ —on the basis that the costs financially associated with paying that interest are disproportionate to the amount involved overall ] ; 2.3 where we agree an alternative arrangement, in writing, with the client or third party for whom the money is held—when this occurs, we will provide sufficient appropriate information to enable the client or the third party to give...

1 Introduction This paper outlines our finance and accounting frameworks, procedures and controls. All individuals working within the firm’s Finance team must make sure they have read and fully understand what follows. A concise, separate edition of this paper is provided for fee earners and other colleagues outside the Finance function. 2 Basic principles 2.1 We are required to protect funds and assets entrusted to the firm by clients and others. 2.2 We must at all times adhere to the SRA Accounts Rules (the Accounts Rules)......

1 Introduction 1.1 This paper outlines how we will meet the wide-ranging regulatory obligations relevant to our firm and constitutes a component of our broader risk management approach. 1.2 If we do not adhere to those rules or fail to handle regulatory risk effectively, the potential outcomes include: 1.2.1 clients might not obtain the standard of service they are rightfully due, leading to complaints or allegations of negligence; 1.2.2 harm to our reputation; 1.2.3 disciplinary action by the SRA or another regulator against the firm or its people, potentially resulting in fines, disqualification, or other penalties; or 1.2.4 exposure of the firm or its individuals to criminal proceedings. 1.3 We have consistently treated compliance with utmost seriousness and will maintain that stance. 2 Compliance obligations 2.1 The Solicitors Regulation Authority ( SRA) directly regulates the firm and our solicitors [ , Registered European Lawyers ( RELS), Registered Foreign Lawyers ( RFLs) and...

This Agreement is dated [ date ] Parties [ Insert name of supplier ], a company registered in [ England and Wales ] with number [ insert registered number ], whose registered office is at [ insert address ] (the Supplier); and [ Insert name of customer ], a company registered in [ England and Wales ] with number [ insert registered number ], whose registered office is at [ insert address ] (the Customer), each of the Supplier and the Customer being a party, and together the Supplier and the Customer are the parties. Background The Supplier acts as licensor of specified software applications. The Supplier has agreed to provide the Customer with a temporary licence to use the software applications on a trial basis, under the terms of this Agreement, for the purpose of evaluating the...

ARCHIVED This Precedent is archived and is not maintained. The training pack comprises template Power Point slides that may serve as the basis for one or more training seminars introducing retained EU law. It is anticipated that those providing training will use the slides as a helpful starting point for their presentation(s), tailoring, adapting and amending them as appropriate to reflect their particular area of practice. The materials are customisable. Click the link below to download the presentation. Contents These training materials cover the following: What constitutes retained EU law? How is retained EU law described? What do the pertinent provisions state?......

Dear [ client name ] [ insert reference ]—case management conference As you know, a case management conference ( CMC) has been listed for [ date ] in this matter. This correspondence provides further details about the purpose of the CMC and the preparation that will be expected from you. [ There is no legal duty for you to attend the CMC in person; however, it would be preferable if you are able to do so, as this will allow you to see first-hand the court’s approach to the case and enable us to take instructions from you if required. ] [ Where, as in this case, the proceedings are subject to costs budgeting, the court will often hear the CMC alongside the costs management conference and, together, these are described as a case and costs management conference or CCMC. The CCMC allows the court to...

1 General Date [ Insert date ] Full name and position of the individual completing this form [ Insert name ] [ Insert job title ] Client/matter reference [ Insert number ] Responsible fee earner [ Insert name ] Client’s name [ Insert name ] Summary of the matter [ Insert description ] 2 Reason client/matter is high-risk Is the client or the matter high-risk? ☐ Client ☐ Matter ☐ Both Basis for high-risk classification: As outlined in the client or matter risk assessment form. [ Insert ] 3 Monitoring 3.1 File audit/review Most recent file review/audit date [ [ Insert date ] OR None ] Were any significant issues identified at the last review/audit? ☐ Yes— provide details ☐ No 3.2 The client Are the client’s contact particulars current? ☐ Yes ☐ No— add an action point at section 5 Any substantive amendments to the...

This Precedent deck is aimed at legal practices. It serves as a tool to instruct your team about breach reporting duties in line with the SRA Codes of Conduct......

1 Compliance officer for finance and administration ( COFA) details Firm name [ Insert firm name ] COFA’s name [ Insert name ] Reporting line [ Insert name ] Employment status (full-time/part-time) [ Insert ] Other positions held in the firm [ Insert ] Firm appointment date [ Insert date ] SRA approval date [ Insert date ] 2 Role summary 2.1 Steer [ insert firm name ]’s [ global ] approach and ethos for compliance with the SRA Accounts Rules. 2.2 Undertake all proportionate measures to make sure [ insert firm name ] and its managers, staff, or interest holders meet their duties under the SRA Accounts Rules. 2.3 Guarantee swift notification to the SRA of any material breach of the SRA Accounts Rules, and any other reportable issues concerning [ insert firm name ] and its...

This Agreement is entered into on [ date ] Parties [ Insert name of supplier ], a company incorporated in [ England and Wales ] with company number [ insert registered number ], whose registered office is at [ insert address ] ( Supplier); and [ Insert name of customer ], a company incorporated in [ England and Wales ] with company number [ insert registered number ], whose registered office is at [ insert address ] ( Customer), each of the Supplier and the Customer being a party and, together, the Supplier and the Customer are the parties. Background The Supplier delivers the Cloud Services described in this Agreement to various third-party customers. The Customer seeks to evaluate the Cloud Services for [ use in its business ]. As outlined in this Agreement, the Supplier has agreed to carry out...

This Deed This Deed is entered into on [ insert date ] by the parties identified below. Parties The individuals whose full names and addresses are set out in the Schedule (each a Partner and, collectively, the Partners) [ Insert name of COFA ] of [ insert address ] (the COFA) BACKGROUND ( A) The Partners carry on business as a legal practice authorised and regulated by the Solicitors Regulation Authority ( SRA) under the name of [ insert name of firm ] (the Firm). ( B) The Partners have appointed [ insert name of COFA ] as the Firm’s compliance officer for finance and administration ( COFA), subject to [ continued ] approval by the SRA. ( C) The parties have agreed that the COFA shall have the benefit of an indemnity from the Partners in relation to certain...

On [ date ], the parties enter into this Agreement, namely: 1 [ ] of [ ] (the ‘ Administering Authority ’); 2 [ ] of [ ] (the ‘ Scheme Employer ’); 3 [ ] of [ ] (the ‘ Admission Body ’); and 4 [ ] of [ ] (the ‘ Guarantor ’). Background ( A) Under the Regulations, the Administering Authority is an administering authority. It runs and upholds the Scheme in line with the Regulations and has delegated authority to make determinations under section 25(5) of the Public Service Pensions Act 2013 regarding employees of admission bodies. ( B) The Scheme Employer falls within the definition of a Scheme employer for the purposes of the Regulations. ( C) The Admission Body is an admission body as described in [ ] of Schedule 2 to the 2013...

This Precedent Within this Precedent sits a blank worksheet for completion, plus a worked example explaining how this Precedent ought to be completed. The worked example presents a for an overseas procurement exercise. Please click to access Excel version of this Precedent. Please note that, as this Precedent was prepared in Excel, it therefore cannot be downloaded into Word format......

Part 1 To be completed by any member of staff involved in any form of procurement for or on behalf of [ Insert organisation’s name ], including Executive Directors, interims, secondees, temporary staff and contractors—whether or not they have an interest to declare. 1 Your details Name (print): [ Insert name ] Job Title: [ Insert job title ] 2 Details of the procurement: Goods/services to be procured [ Insert details ] Potential suppliers/bidders/tenderers [ Insert details ] Estimated total contract value [ Insert details ] Budget holder [ Insert details ] Project initiation document ( PID) number [ Insert details ] 3 Declaration and signature Each member of staff must complete one of the statements set out below and return the form to: [ insert person or department to receive forms, eg Finance Director or Legal Department ]. Please tick the box for the statement that applies. EITHER 3.1 □ I have read the...

Kindly supply every pertinent piece of information for the new supplier. Doing so allows payments to be processed accurately and makes sure contact information is on hand to fully support resolution of any problems relating to the contracted product or service......

1 Procurement project details Project title [ Add the name of the procurement initiative ] Project overview [ Provide a concise outline of what the procurement initiative involves ] Does the proposed procurement fall within the approved budget?......

Any words or expressions cited in these signing/authorisation limits are set out in the ‘ Terms’ table—see section 1... 1 Terms Contract An oral or written arrangement between two or more parties that creates obligations enforceable or otherwise recognised at law, and which binds [ Insert organisation’s name ], whether or not it is expressly labelled a contract. Examples include: leases licences guarantees indemnities agreements letters of intent memoranda of understanding statements of work non-disclosure (or confidentiality) agreements click-to-accept online terms ‘shrink-wrap’ licence agreements and extensions amendments or variations to any Contracts Extraordinary Items Expenditure that is either not included in Board-approved budgets, exceeds Board-approved budgets, or falls outside the ordinary course of business......

We conduct our operations with honesty. Purchasing goods and services accounts for a substantial share of [ insert organisation’s name ]’s overall spend. We all must collaborate to make sure our buying is performed in a responsible and efficient way. 1 Introduction 1.1 [ Insert organisation’s name ] strives for excellence across every area of its activities. Effective procurement (buying) is acknowledged by [ insert organisation’s name ]’s executive team as a key driver in delivering [ insert organisation’s name ]’s corporate goals and success. 1.2 This policy outlines the procedures to ensure [ insert organisation’s name ]’s procurement (buying) practices are fair and comply with all relevant laws and regulations, while securing best value for money and lowering operating costs. 1.3 All employees must adhere to these procedures. 1.4 All monetary figures are expressed net of VAT. 1.5 All procurement documents can be obtained from [ insert, eg the...

This Deed is executed on [ insert date ] Parties The individuals whose names and addresses appear in the Schedule (each a Partner and, collectively, the Partners). [ Insert name of COLP ] of [ insert address ] (the COLP). BACKGROUND The Partners conduct business as a legal practice authorised and regulated by the Solicitors Regulation Authority ( SRA) under the name of [ insert name of firm ] (the Firm). The Partners have designated [ Insert name of COLP ] to act as the Firm’s compliance officer for legal practice ( COLP), subject to [ continued ] approval by the SRA. The parties have agreed that the COLP shall benefit from an indemnity from the Partners in respect of specified liabilities of the COLP as set out in this deed. THIS DEED PROVIDES: 1 COLP’s regulatory duties The COLP...