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Practice notes
Undertakings and the courtThis Practice Note explains:•what powers the court has to enforce undertakings•when it is likely to exercise those...
2nd Mar
Practice notes
Compliance officer for legal practice—COLP—title and duties 2011 [Archived]The compliance officer for legal practice (COLP) sits at the heart of the...
2nd Mar
Practice notes
Conveyancing Quality Scheme (CQS) practice management standards—Precedents content mapThe Law Society's Conveyancing Quality Scheme (CQS) is a quality...
1st Mar
Practice notes
Acting for yourself, friends and familyThis Practice Note covers considerations where a law firm wishes to act for one of its own partners or...
1st Mar
Practice notes
Money Laundering Regulations 2017—source of funds and source of wealthSource of funds and wealth was a key focus of the SRA’s Preventing Money...
2nd Mar
In-house
Practice notes
Pre-employment checks—law firmsWhile the application form and interview process will give you some assurances as to a candidate's suitability for a...
1st Mar
Q&As
What are the ramifications for a solicitor who does not comply with Law Society Formula B undertakings and/or did not hold their client's part of the...
2nd Mar
Q&As
When and how can I terminate my retainer?This Q&A is intended for law firms. It deals with when you can terminate your retainer. Incorrectly...
2nd Mar
Practice notes
Solicitors Regulation AuthorityThe Solicitors Regulation authority (SRA) is the independent regulatory arm of the Law Society. It...
2nd Mar
Precedents
Risk management policy—law firms1Introduction1.1Risk management is central to the regulatory regime under which we operate. [Insert name of firm] is...
1st Mar
Practice notes
Money laundering compliance officer—law firmsThis Practice Note is intended for law firms that are subject to the Money Laundering, Terrorist...
2nd Mar
Practice notes
Client conflicts in conveyancing or property matters—when can you act?There are two types of conflict: own interest conflicts (sometimes called...
2nd Mar
Practice notes
Closing a client matter—law firmsClosing a client matter properly is a basic client care, risk management and housekeeping requirement. There are also...
1st Mar
Practice notes
Dealing with freelance solicitorsFrom 25 November 2019, the SRA Standards and Regulations introduced a new method of practising: the freelance...
1st Mar
Q&As
What is the ‘risk-based approach’ in relation to anti-money laundering, and what does it mean to me?
What is the ‘risk-based approach’ in relation to anti-money laundering, and what does it mean to me?The risk-based approach (RBA) is a core concept of...
2nd Mar
Precedents
Internal suspicious activity report—SAR—formThis internal suspicious activity report (SAR) form is intended to make the process of submitting SARs to...
1st Mar
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