Legal Precedents

APPLICATION NOTICE Form IAA pursuant to Rule 1.35 of the Insolvency ( England and Wales) Rules 2016 Court Reference No. [ insert number ] [ IN THE HIGH COURT OF JUSTICE BUSINESS AND PROPERTY COURTS [ OF ENGLAND AND WALES OR IN [ insert location ] ] INSOLVENCY AND COMPANIES LIST ( Ch D) OR IN THE HIGH COURT OF JUSTICE CHANCERY DIVISION [ insert location ] DISTRICT REGISTRY OR IN THE COUNTY COURT AT [ insert location ] ] IN THE MATTER OF [ insert company name ] AND IN THE MATTER OF SECTION 216 OF THE INSOLVENCY ACT 1986 Between [ insert name ] ( Applicant) and [ insert name ] ( Respondent) 1 This application is brought under section 216 of the Insolvency Act 1986......

Notice to terminate lease To: [ name of Landlord ] ( Landlord) of [ address ] From: [ name of Tenant ] ( Tenant) of [ address ] Re: Lease dated [ date ] entered into between (1) [ the Landlord OR [ name of original landlord ] ] and (2) [ the Tenant OR [ name of original tenant ] ] (the Lease) relating to [ description of property ] (the Property) Pursuant to clause [ number of break clause in the Lease ] of the Lease, [ I OR the Tenant ] hereby serves notice to bring the term granted by the Lease to an end on [ [ date ] OR [ repeat wording of the lease, eg 'the expiry of the fifth year of the Term' ] ] and on that date [ I OR the Tenant ] shall...

Leasehold Reform, Housing and Urban Development Act 1993, section 41(1) [ (a) OR (b) ] REQUEST FOR INFORMATION Relating to the premises described as follows: [ insert address of flat ] (the Flat); formally addressed to [ insert name of immediate landlord or receiver of rent ] [ incorporated in England and Wales with company registration number [ insert company registration number ] ] of [ insert address of immediate landlord or receiver of rent ]; and issued by [ insert name(s) of qualifying tenant(s) of the Flat ] of [ insert address ], being an address in England or Wales designated for the service of notices for the purpose of Leasehold Reform, Housing and Urban Development, as set out herein......

ARCHIVED : This Precedent is archived and no longer updated. For guidance on preparing witness statements in interim applications, see Practice Note: How to draft a witness statement for an interim application. For guidance on strike out applications, see Practice Note: Strike out—making an application to strike out a statement of case. Submitted on behalf of the [ Claimant OR Defendant ] Witness statement of [ insert initial and surname of witness ] Witness statement number: [ insert number of witness statement in relation to the witness ] Exhibit particulars: [ insert initials and number of each exhibit referred to ] Date the statement was made: [ insert date ] [ Date of translation: [ insert date ] ] Claim No. [ insert claim number ]......

We are dedicated to delivering a first-rate legal service. We recognise we may not always be perfect, so if anything has gone amiss, including concerning our fees, please let us know. Your feedback enables us to enhance the quality of our service and standards for future clients. How do I make a complaint? You may reach us in writing (by letter or email) or by telephone. At first, it can be useful to speak with the individual handling your case about your concerns, and we will make every effort to sort out any problems. If you do not feel able to raise your concerns with them, please contact the person directly responsible for the overall supervision of your matter, who is named in the client care letter that we previously sent to you at the very beginning of your matter......

Dear [ Insert client’s name ] [ Insert heading, eg matter description ] Thank you for asking us to represent you in relation to [ describe matter ]. This Engagement Letter, together with the enclosed Terms of Business, sets out the terms on which we will act for you; taken together they constitute our contract. Please let me know if you find any part of this Engagement Letter or any other information difficult to understand—for example, if anything is unclear or you need it in larger print, an alternative format, or another language. 1 Contact details and supervision Your matter will be handled by [ insert name of person handling matter ], who is a [ insert status ]. Their contact details are: Telephone number: [ Insert telephone number ] Email address: [ Insert email address ] Postal address: [ Insert postal address ] The...

1 Introduction This accounts manual outlines our accounting processes and controls for fee earners and other non-finance colleagues. A separate, more detailed accounts manual is available for the Finance team. Responsibility for this manual rests with the [ Head of Finance OR COFA ]. 2 Basic principles We must protect money and assets entrusted to the firm by clients and others. We must at all times comply with the SRA Accounts Rules (the Accounts Rules). Unless the Accounts Rules state otherwise, we must: keep client money separate from the firm’s money; hold client money safely in a client bank account; withdraw client money from a client account only as permitted by the Accounts Rules; not operate banking facilities through a client account; and pay a fair amount of interest on any client money the firm holds. 3 Accounts...

This conflicts and confidentiality decision tree guides you through the conflicts and confidentiality duties in the SRA Standards and Regulations, enabling you to decide whether we may act on a particular matter and what steps you must take to accept instructions. It addresses the SRA’s regulatory obligations relating to confidential information held for current or former clients. It does not consider confidentiality duties owed to non-clients, e.g. under a confidentiality agreement with a third party. For further details on conflicts of interest and confidentiality, please see our Conflicts, confidentiality and disclosure policy. Click below to view or print the full-size PDF version: Note 1—prohibition on acting in an own interest conflict situation An own interest conflict arises where a conflict (or a significant risk of one) exists between: the personal or commercial interests of the firm or a member of our staff; our duty to act in...

The following table sets out a variety of conflict and confidentiality scenarios we might encounter. It is intended to guide decisions on whether we may act and, if so, which measures we should adopt. It mirrors the obligations in the SRA Code of Conduct for Solicitors, RELs and RFLs ( Code for Solicitors) and the SRA Code of Conduct for Firms ( Code for Firms) regarding conflicts of interest and the protection of confidential information belonging to current or former clients. It does not cover clashes with the firm’s commercial interests or duties of confidentiality owed to non-clients, eg under a confidentiality agreement with a third party. When we evaluate a potential conflict or confidentiality concern, one end of the spectrum is that we cannot act at all, and at the other there are no conflict or...

STOP PRESS: A major overhaul of the UK listing framework became effective on 29 July 2024, eliminating the premium and standard listing segments and introducing a single listing category for equity shares issued by commercial companies, replacing the prior segmentation approach across the listing regime. This commercial companies category relies strongly on disclosure and sits alongside other categories, including those for shell companies, secondary listing and closed-ended investment funds. To deliver these reforms, a new UK Listing Rules sourcebook took effect and the former Listing Rules sourcebook was withdrawn. For more detail, see Practice Note: Reform of the UK listing regime—fundamentals. This Precedent represents the position under the listing regime as it stood before 29 July 2024......

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...