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Practice notes

  • Practice notes for small firms and sole practitioners

    These practice notes are for our members and represent our view of good practice of particular relevance to small firms and sole practitioners. Following the advice in these practice notes will make it easier to account to oversight bodies for your actions.

    1. Notes starting with letters A to D
    2. Notes starting with letters E to K
    3. Notes starting with letters L to S
    4. Notes starting with letters T to Z
    • Alternative business structures

      This practice note provides details on alternative business structures.

    • Anti-money laundering

      The Law Society's anti-money laundering practice note covers all aspects of the regulations and your obligations

    • Articles of Association

      Practice informatioon for solicitors whose clients include businesses incorporated as companies (public, private, or limited by guarantee) or who are themselves incorporated.

    • Business continuity

      This practice note outlines the essentials of business continuity management for solicitors and contains links to further help.

    • Client care letters

      This practice note provides examples of how you can communicate all of the information required to your clients in a clear and effective manner.

    • Closing down your practice: regulatory requirements

      This practice note outlines the regulatory requirements for solicitors to consider when closing down your practice.

    • Complaints management

      Achieving good practice in complaints management will help solicitors increase client satisfaction and promote their practice in the competitive legal services market.

    • Compliance officers

      The Legal Services Act 2007 requires that a head of legal practice and head of finance and administration are appointed in each ABS. The roles are termed compliance officer for legal practice and compliance officer for finance and administration.

    • Conflict of interests

      An overview of conflict of interests in the SRA's new Handbook. This information on conflict of interests looks very different to that provided in the 2007 Code and, in line with outcomes-focused regulation, there is much less information and guidanc

    • Conflicts of interests in criminal cases

      This practice note concerns the particular way in which criminal defence solicitors need to consider the avoidance of conflicts of interest when considering whether it is appropriate to act for more than one suspect or defendant

    • Execution of documents by virtual means

      This practice note gives suggestions on good practice in light of the R (on the application of Mercury Tax Group and another) v HMRC [2008] EWHC 2721 ( Mercury) case and suggests different options for virtual signings/closings.

    • Firm based regulation

      This practice note provides an overview of firm based regulation for solicitors.

    • Flexible working

      This practice note offers advice on that right and suggests forms of flexible working that practices may wish to consider.

    • Insolvency of a qualifying insurer

      This practice note details how firms can act if their qualifying insurer becomes insolvent.

    • Joint ownership

      Declaring beneficial interests at the outset of a joint ownership transaction provides clarity about the parties' intentions and may help to avoid disputes in the future.

    • Lasting Powers of Attorney

      This practice note assists solicitors in advising clients wishing to draw up an LPA, as well as solicitors who are acting as an attorney under an LPA. It also covers ongoing arrangements for Enduring Powers of Attorney.

    • Legal disciplinary practice

      This practice note provides details on the changes relating to legal disciplinary practices.

    • Mortgage fraud

      This practice note highlights the warning signs of mortgage fraud. It highlights the latest criminal methodologies and outlines how you can protect yourself and your firm from being used to commit mortgage fraud.

    • Outcomes-focused regulation: overview

      This practice note is designed to give firms an overview of outcomes-focused regulation (OFR) and issues for consideration.

    • Outsourcing

      Outsourcing is a growing area in legal service delivery. This practice note gives an overview of outsourcing and the regulatory requirements you need to consider.

    • Professional indemnity insurance

      This practice note describes PII requirements in the current market and details how you should apply, alongside related issues.

    • Protecting your online reputation

      As solicitors you should continually think about the importance of protecting and maintaining your, and your practice's, reputation. This increasingly includes the recognition that any presence online plays a significant part in shaping that reputati

    • Provision of Services Regulations 2009

      This practice note advises on a new EU services directive that obliges solicitors to provide clients with information on their services over and above the requirements set out in the Solicitors' Code of Conduct.

    • Responding to a financial crime investigation

      Advice on responding to law enforcement agencies seeking access to client files to investigate financial crime.

    • Setting up a practice: regulatory requirements

      This practice note outlines the regulatory requirements to consider when setting up your practice.

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