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The person(s) on whose behalf the firm is providing a service.
In terms of conduct, duties are owed to clients of the firm and this may sometimes include former and prospective clients. A client is not necessarily the same person as the individual paying for the legal services.
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Drafting a building contract/schedule of amendments—checklist Once the procurement route and form of building contract has been selected (see Practice Note: Choosing the right procurement method—construction projects) the employer should consider the following matters and incorporate the appropriate drafting in the building contract particulars and schedule of amendments. This Checklist assumes that the parties are using a standard form of building contract, such as a JCT form, and that the employer is proposing the first draft including the completed contract particulars and a schedule of amendments, which amends the standard terms. This list is not exhaustive, however, and there may be other project specific matters/risks that need to be taken into account: Contractual matters • Carry out due diligence on the contractor The employer needs to carry out due diligence on the contractor at the outset to determine whether its financial position is acceptable. Confirm the contractor’s company number and name at Companies House. • Obtain consultants’ details Confirm the full details of the consultants engaged by the employer; some...
Option agreements—acting for the buyer—checklist Call or put option? In a 'call' option the buyer will have control in that it may call for a transfer of the property. A 'put' option gives the seller control in that it can require the buyer to take a transfer of the property and therefore the buyer should be especially vigilant in ensuring that the terms for the transfer (particularly those relating to valuation and, if appropriate, insurance) are as favourable as possible. Seller's charges If the property is already mortgaged at the date of grant of the option agreement, there is a risk that the mortgagee may overreach the option by exercising its power of sale. Therefore ensure that the mortgagee either: • joins into the agreement (this is rare in practice), or • provides written consent to the granting of the option In either case, the mortgagee should confirm that if the buyer exercises the option it will acquire the property free from the charge or, if the mortgagee...
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Improving efficiency—flowchart This flowchart sets out the steps to take when improving a process within your firm and identifies Precedents for each step. Note 1 You could do this by: • identifying where there is waste in a process—see Precedent: Identifying waste questionnaire, and/or • looking at a process from your clients’ perspective—see Precedents: ◦ Improving efficiency—voice of the client (VOC)—blank ◦ Improving efficiency—voice of the client (VOC)—worked example Note 2 You could do this by: • mapping the process—see Precedent: Process map—worked example • identifying who does what in that process—see Precedents: ◦ Identifying who does what in a process (RACI framework)—blank ◦ Identifying who does what in a process (RACI framework)—worked example, and • collecting data—see Precedent: Simple check
Improving efficiency workflow This Improving efficiency workflow sets out the steps to take when improving a process within your legal department. It is based around the Define, Measure, Analyse, Improve, Control (DMAIC) framework of continuous improvement and identifies Precedents you could use to support you with each step. Note 1 You could do this by: • identifying where there is waste in a process—see Precedent: Identifying waste questionnaire, and/or • looking at a process from your clients’ perspective—see Precedents: ◦ Improving efficiency—Voice of the Customer/Client (VOC)—blank ◦ Improving efficiency—Voice of the Customer (VOC)—worked example for in-house lawyers Note 2 You could do this by: • mapping the process and identifying who does what in that process—see Precedent: ◦ Identifying who does what in a process (RACI framework)—blank • collecting data—see Precedent: Simple check sheet Note 3 You could do this
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Client care is about providing a proper standard of service to your client. Chapter 1 of the Solicitors Regulation Authority (SRA) Code of Conduct 2011 sets out your regulatory obligations.There is no regulatory requirement to have a written client care policy, except in relation to complaints, but as you may have to justify your client care arrangements to the SRA, you should ensure you maintain a proper record of the arrangements you have and be able to show they are appropriate.This Practice Note explains the regulatory requirements on client care. For more on complaints, see Practice Note: Complaints—regulatory requirements—law firms 2011 [Archived].The requirementsYou must:•act with integrity•not allow your independence to be compromised•act in the best interests of each client•provide a proper standard of service to your clients•behave in a way that maintains public trust•comply with your legal and regulatory obligationsThe information you provide to clients and the procedures you put in place will vary depending on the needs and circumstances of your clients and the services you provide. For example,...
Disclosure—solicitors' obligations This Practice Note identifies solicitors’ obligations in relation to disclosure to their client and the court. It also explains the need to preserve documents, provide the required disclosure and co-operate with the other side particularly in relation to electronic disclosure (e-disclosure). This Practice Note does not cover the provisions of the disclosure scheme operating in the Business and Property Courts. For guidance, see: Disclosure scheme—overview. Obligations Throughout the disclosure process you have obligations to your client, to the court and in accordance with other relevant provisions. These include, but are not limited to: • advising your client of the need to preserve documents—see further: Preservation of documents • ensuring your client complies with all relevant and applicable provisions and makes compliant disclosure—see further: Full disclosure • co-operating with the other side, specifically in relation to e-disclosure and/or where the claim is proceeding on the multi-track and does not involve a claim for personal injury—see further: Co-operating with the other side • a reasonable duty to manage...
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Consultancy agreement—company and individual—pro-client (short form) [ON HEADED NOTEPAPER OF CLIENT COMPANY] [Insert consultant’s name] [Insert consultant’s address] [Insert date] Dear [insert consultant’s name] [ Consultancy agreement OR Insert name of project ] Further to our recent discussions, I am pleased to confirm the terms of our agreement regarding the provision of your consultancy services to [insert name of client company] (Company). 1 Term 1.1 [Subject to the terms set out in this letter, your engagement [will commence OR commenced] on [insert date] and will continue unless or until either party gives to the other not less than [insert number] [weeks’ OR months’] prior notice in writing. OR 1.2 Your engagement will be for a fixed period of [insert number] months from [insert date], subject to the terms of this letter and subject to the right of either the Company or you to give to the other not less than [number] [weeks’ OR months’] notice in writing during such fixed period terminating the...
Letter responding to request for consent to relief from sanctions [insert name and address of claimant or defendant or claimant's or defendant’s legal representative] [insert date] Dear [insert organisation name] [Claimant v Defendant—Case number] Thank you for your letter of [insert date] requesting that our client consents to an application for relief from sanctions [set out details of the requested relief from sanctions]. [ [We have considered your request but confirm that we are unable to agree to it. [Set out reasons for refusing request] OR [Set out reasons why the requested extension is too long, and make proposal for a shorter extension]] OR We have considered your request and are
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If a law firm has a digital copy of a complete matter file, is there a period of time that the firm must keep the physical copy of the file before it is destroyed? We are not aware of any specific regulatory requirement mandating the retention of physical copies of matter files if a digital copy is available. Indeed, some firms operate on a paperless basis generally, holding hard copy original documents/deeds only. However, it is generally good practice for law firms to have a matter closing procedure that includes the storage and eventual destruction of both paper-based and digitally-stored records How to close a client
What is a systematic internaliser under UK MiFIR? What is a systematic internaliser? A firm will be a systematic internaliser (SI) if it deals on own account on a substantial (as well as organised, frequent and systematic) basis when executing client orders outside a UK regulated market (RM), UK multilateral trading facility (MTF) or UK organised trading facility (OTF). The definition of SIs applies only where a firm's over-the-counter (OTC) trading meets quantitative thresholds for both 'frequent and systematic' and 'substantial': • the 'frequent and systematic' threshold is based on the number of OTC trades in the financial instrument carried out by the firm on own account when executing client orders • the 'substantial' threshold is based on either: (i) the size of the OTC trading carried out by the firm in relation to its total trading in a specific financial instrument or (ii) the size of the firm's OTC trading carried out by the investment firm in relation to the total trading in the relevant area (within the meaning...
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Private Client analysis: The UK's adult social care sector stands at a critical juncture, grappling with financial strains, workforce challenges, and systemic inefficiencies. For legal professionals advising clients in the healthcare and social care industries, understanding these multifaceted issues is essential.
This Q&A considers whether, if where a donor of a lasting power of attorney appoints an attorney who lives overseas, under what circumstances can the attorney be reimbursed from the donor's bank accounts to fund their travel when returning to the UK.
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