Legal Precedents

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...

This form is for staff to notify the firm’s COLP or COFA of any suspected compliance breach. Every member of staff must swiftly disclose any facts or issues they reasonably believe could potentially amount to a compliance breach (see our Breach reporting policy for clarification). You do not need to be certain that a compliance breach has occurred—you only require a reasonable belief that something might amount to, or represent, a compliance breach......

All employees must notify any actions or failures to act that could result in a potential negligence claim against the firm. This applies even if you think the error can be remedied. All completed forms should be forwarded without delay to [ insert name of person nominated to receive forms ]......

1 Details of outsourcing arrangements Summary of the proposed outsourcing services: [ Insert details ] Nominated outsourcing supplier ( OS): [ Insert details ] Date the risk assessment was undertaken: [ Insert date ] Individual(s) approving the risk assessment: [ Insert name(s) ] 2 Client risks Risk: Outsourcing might not align with the best interests of every client Likelihood: ☐ Low ☐ Medium ☐ High Impact: ☐ Low ☐ Medium ☐ High Mitigation: [ Insert details ] Risk: Outsourcing could impede our duty to deliver a proper standard of client service Likelihood: ☐ Low ☐ Medium ☐ High Impact: ☐ Low ☐ Medium ☐ High Mitigation: [ Insert details ] ...

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......

Please select to download a Word file of this chart you can amend...

Conflicts, confidentiality and disclosure policy Our Conflicts, confidentiality and disclosure policy explains our overarching approach to acting where conflicts may arise. We also provide guidelines for [ certain departments OR different types of work ]. These guidelines demonstrate how the policy might operate in varied scenarios, though they are not designed to be comprehensive or inflexible. For each matter addressed by the guidelines we must assess whether a conflict exists and, if it does, then whether we are able to act......

Option 1: Fixed referral fee wording Your matter was introduced to us by [ insert name of introducer ], for which we have paid a referral fee of £[ insert amount ]. Our relationship with [ insert name of introducer ] will not compromise our promise to: treat you fairly protect your best interests in all our dealings with you provide independent advice and ensure no one else influences that advice If you have any questions or concerns about our arrangements with [ insert name of introducer ], please do not hesitate to contact us......

1 Introduction Our website is a key channel for engaging with existing and prospective clients and is a significant expression of our brand. Accordingly, it is essential that our website activities are managed appropriately. This policy explains our procedures for running the website, including: who holds responsibility for website management; content governance; website security and data protection; permitted and prohibited use; linking; accessibility; client confidentiality. 2 Responsibility The [ state who ] holds overall responsibility for managing our website. Their responsibilities include: ...

1 Introduction Robust financial management is vital to the success of any business. Putting in place financial management procedures enables us to plan for prosperity and reduce risks that could impede achieving and sustaining financial success. This document provides a summary of our financial management procedures and forms part of our wider risk management policy. This policy sets out: what financial management means; our approach to financial management; who holds responsibility for financial management; our financial management procedures; our approach to clients and matters that carry a higher than usual financial risk; our obligation to report certain events to the Solicitors Regulation Authority ( SRA); details of financial management training; and the steps we will take to monitor and update this financial management policy. 2 What is financial...

Description of proposed outsourcing services [ Outline the nature of the services you plan to outsource, eg typing from digital dictation ] Proposed outsourcing supplier [ Identify the intended outsourcing supplier to whom this due diligence record applies ] Compliance check Internal due diligence completed ☐ Yes ☐ No ☐ Not applicable [ Insert any comments or action points ] Pre-contract non-disclosure agreement signed ☐ Yes ☐ No ☐ Not applicable [ Insert any comments or action points ] Supplier has completed the pre-contract audit questionnaire ☐ Yes ☐ No ☐ Not applicable [ Insert any comments or action points ] Due diligence on the supplier completed ☐ Yes ☐ No ☐ Not applicable [ Insert any comments or action points ] Risk assessment completed ☐ Yes ☐ No ☐ Not applicable [ Insert any comments or action points ] ...

Option 1: Self-funded We have considered several ways to meet your costs, such as: legal expenses insurance, e.g. under your home or motor insurance; a no win no fee agreement; via a trade union or other membership organisation; a third-party funding agreement; and [ add any other method you may have discussed ] It appears that none of these avenues is available or suitable, and you have therefore agreed to pay our charges privately. These are shown above. In addition to our charges, you will also be responsible for: disbursements that we incur on your matter; and any costs you may become liable to pay to a third party, e.g. [ your opponent ] We will invoice you for our costs and disbursements [ monthly OR every six months OR when we have reached the next stage in your matter which is [ insert next stage ] ]......

1 Introduction Risk management sits at the heart of the regulatory framework within which we operate. [ Insert name of firm ] is devoted to embedding effective risk management across the firm, and every member of staff has a part to play in ensuring we achieve this. This policy outlines: what risk is; our method for managing risk; who holds responsibility for risk management; how we identify, report and evaluate risk; our policies and procedures for risk management; details of risk management training; how we will monitor and update this risk management policy. 2 What is risk? Risk is the chance of an adverse or unwelcome outcome. This may involve a financial loss, but it can also be less tangible, such as harm to our reputation. We classify the risks we identify into three groups: strategic risk—risks that could...

Introduction We acknowledge that there are inherent risks in our practice. Our intention, as far as possible, is to promote a no-blame culture—we are all liable to make mistakes. Nonetheless, there are recurring causes of negligence claims within the legal profession generally [ and also within this firm ]. This document sets out the usual triggers for negligence claims—both the general themes (section 2) and those specific to different work types (sections 3–8). It is intended to help all our staff guard against negligence in their work. Generic causes of negligence claims Most negligence claims against lawyers arise from missed deadlines, drafting mistakes, incorrect legal advice, and inappropriate action; however, the underlying reasons for such errors can differ. The table below highlights typical errors, common contributory factors, and associated behaviours......

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 [ [...

Note: Use this precedent with an application notice template compliant with the Insolvency ( England and Wales) Rules 2016, SI 2016/1024—see Form IAA, IR 2016, r1.35. INSOLVENCY ACT APPLICATION NOTICE CASE NO: [insert case number] In the matter of [company] and the Insolvency Act 1986. Between [ Applicant(s)] Applicant(s) and [ Respondent(s)] Respondent(s). Section [214 or 246ZB]. Applicant(s): [names/addresses]. Respondent(s): [names/addresses]. Application concerns [company details] to [level of judge] in [court/hearing centre as per heading]. Within existing insolvency proceedings? YES/ NO. Ref: [number]. Declaration that from [date] there was no reasonable prospect of [company] avoiding insolvent [liquidation/administration]. Declaration that the Respondent(s) contribute [sum] or such other sum as the Court thinks fit. Order that the sum found due be paid to the Company. Interest for such period and rate as the Court considers appropriate. Costs of and incidental to this...

Confidentiality agreement — restructuring & insolvency This Agreement is entered into on [ insert day and month ] 20[ insert year ]. Parties [ insert name of debtor company ], a company registered in [ insert country eg England and Wales ] under number [ insert registered number ], whose registered office is at [ insert address ] (the Company); and The Creditors identified in the Schedule (the Creditors). ( Each of the Creditors and the Company is a Party and, together, the Creditors and the Company are the Parties). Recitals ( A) The Company undertakes to provide information to the Creditors, and the Creditors undertake to keep such information confidential and to use it solely for the purposes of assessing, negotiating, monitoring and implementing a [ Standstill Agreement OR Restructuring Agreement ]. ( B) [ insert any further recitals ]. ......

This Agreement is entered into on [ insert day and month ] 20[ insert year ] Parties [ Insert name of lender ], a company incorporated in [ England and Wales ] with registered number [ insert registered number ], whose registered office is at [ insert address ]; [ Insert name of lender ], a company incorporated in [ England and Wales ] with registered number [ insert registered number ], whose registered office is at [ insert address ]; [ Insert name of lender ], a company incorporated in [ England and Wales ] with registered number [ insert registered number ], whose registered office is at [ insert address ] (each a Committee Member and together the Committee Members) whose contact details are set out in Schedule 1; [ Insert name of the debtor company ], a company incorporated in [ England and Wales ] with...

Save for the court heading, this Precedent is prepared from the viewpoint of a request seeking leave for substituted or alternative service of insolvency proceedings by a liquidator......

Court Reference No: [ INSERT COURT REF. NUMBER ] [ IN THE HIGH COURT OF JUSTICE BUSINESS AND PROPERTY COURTS [ OF ENGLAND AND WALES] [ IN [ INSERT LOCATION ]] [ INSOLVENCY AND COMPANIES LIST ( Ch D)] OR [ IN THE COUNTY COURT AT [ INSERT LOCATION ]] [ BUSINESS AND PROPERTY COURTS LIST] OR [ IN THE HIGH COURT OF JUSTICE] [ CHANCERY DIVISION] ] In the matter of [ Insert company name ] And in the matter of the companies act 2006 Report I, [ Insert name ], of [ insert firm/company ], [ insert address ], was appointed by the Court to serve as chairperson of the meeting[s] of the Scheme Creditors of [ insert company name ] (the Company) (as defined in the scheme of arrangement mentioned below) (the Meeting[s]), convened pursuant to an order made herein and dated [ insert date ] (the...