appendix 5a risk register -...
TRANSCRIPT
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Lexcel v6 manual May 2015 ©Enderley Consulting Limited 2015
APPENDIX 5A Risk Register
Risk Relevant risk issue How do we address them Referenced where
Market risks
Changing regulatory landscape
Regulatory gaps, regulatory overlap, ineffectiveness of regulators
Compliance with SRA requirement
COLP COFA remaining up to date and aware of risk issues
Competitive constraints Barriers to entry or exit, lack of competition, price fixing, monopolies
Firm acts with integrity at all times
Failure to meet consumer demand
Lack of geographical access to justice, failure of firm providing critical service
As above, limited by realities of Legal Aid Agency
Lack of consumer awareness of rights and duties
Consumers under the impression that will drafting is a regulated activity, lack of awareness about right to complain to Legal Ombudsman
Only qualified staff write wills
Firm has robust complaints process which includes how to contact the Legal Ombudsman
Lack of adequate training provision
Geographical lack of provision, poor standard of pre-qualification training, inadequate ongoing professional training provision
FEs are trained
Most are qualified
Learning & Development Plan addresses SRA training requirement
Lack of diverse & representative profession
Gender or schooling over-representation, glass ceilings, disproportionate intake into legal training institutions and training contracts
Firm has a strict equality and diversity policy, robustly applied
Lack of public interest provision
Reduction in pro bono work, test cases no longer being pursued.
Firm does no pro bono work: affordability is a major constraint
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Unfunded test cases are a risk in themselves
Clients advised of risks in funded test cases
Political risk Act of war, change of government Impossible to address
Economic risks Contraction of insurance market, recession, globalisation of market, substantial increase in rate of inflation
Strategic planning process; regular review of services offered
Regular review of strategic risks
Regular review of cost base to deal with reality of low remuneration in Legal Aid Agency contracts
React accordingly
Social/cultural risks Demographic and migration changes Strategic plan
Increasing population might translate into greater business opportunities
Constant review of strategic risks
Technological risks Advancements in vehicle collision avoidance technology
Advancements in office-based working
Strategic plan
Firm always alive to potential of new work streams
Firm will exit areas rendered unprofitable and reshape
Constant review of strategic risks
Legal risk Referral fee ban, changes in tax law or regulatory requirements which increase overhead costs, contraction of legal aid funding
Strategic planning process; regular review of services offered
Regular review of strategic risks
Firm grip on costs to deal with reality of low remuneration in Legal Aid Agency contracts
Regular review of business processes to ensure maximum
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return on Legal Aid Agency contracts
React accordingly
Ethical risks Supply chain dishonesty; asset theft; corruption; bribery; breaching environmental safeguards; corporate espionage; public sensitivity to areas of practice (eg offences involving children)
Outsourcing policy
Jealous guarding of IP rights
Maintenance of strict internal ethical standards
Poor perception of legal services
Perceived lack of independence, discrimination, dishonesty, incompetence, legal services too costly or adverse media coverage.
Promotion of speed, integrity and efficiency
Good communications with introducers and third parties
Law Society accreditations
Public emergencies Flu epidemic, terrorist attack. Business continuity plan, tested annually
Viability risks
Financial difficulty Failure to pay taxes, debts or staff
IVA or other arrangement
Bankruptcy of sole practitioner
Constant monitoring of:
budgets, and variance analysis
cash and WIP
billing routines, debtors and recoverability
working capital
Group contagion Financial failure of parent company
Damage to one brand spreads to another
Reputational damage to common brand
Not part of a group structure
Geographical/jurisdictional conflicts
Branch located in country designated as high-risk area for money-laundering, terrorism financing, corruption
No overseas practice
Firm has strict identification, AML, anti-forgery and anti-bribery processes
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Firm acts for nationals of such countries but resident in the UK
Irregular firm structure Unclear organisational set-up that hides non-compliance
Firm set up in a way to avoid tax liabilities or causes regulatory concern
Does not apply
Review of structure in the light of SRA Principle 2 (act with integrity)
Lack of independence Risk that a firm’s decision making is influenced by structural or commercial concerns
3rd party control by financial backer
undue influence from other parts of a group
We prioritise independence by:
manager declarations of interest
tight control on referral arrangements
Structural instability Death/incapacity of sole practitioner
Abandonment
excessive merging or buying in of expertise/seniority.
Partners are married and have mirror wills
Continuous review of strategic objectives with assessment of extent to which achievable
Merger an option only if satisfies established strategic objectives and if provides depth and enhanced ability rather than more of what we offer already
Buying in of expertise acceptable but only if we can manage the business, cultural and proximity risks
Supply chain risks Instability/failure of bank or insurance company used by firm, instability or unsuitability of outsource provider used by firm, over-reliance on referral arrangement.
Firm uses UK banks only, benefit from deposit protection schemes
Outsourcing policy requires provider due diligence
Strategic plan seeks mix of work and no over-reliance on a single worksource
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Opera-tional risks
Failure to act with integrity or ethics
Taking unfair advantage, threatening behaviour, conviction or other criminal process, plagiarism.
SRA Principles embedded in all of the Firm’s procedures
COLP reviews
Checks on all new starters
Staff/client relationship policy with emphasis on avoiding taking advantage (or being perceived to take advantage) of position with clients
Ineffective systems and controls
Inadequate business contingency planning/quality monitoring/information security policy/management information/staff training and development.
Business Continuity Plan
Robust monthly file reviews
Monthly Matter Reviews
COLP/COFA schedules
Information Security/Manage-ment Policy
Learning & Development Policy
Month end reporting
Training Plan
Lack of financial competence
Poor management of client and office accounts, providing financial advice outside scope of authorisation, incompetent misuse of client money.
COFA schedules
Highly experienced accounts staff
Written financial management procedures
Staff training
Supervision
Lack of legal competence
Giving wrong advice, letters/documents/pleadings not fit for purpose.
Individual learning & development plans
Central training record – monitors CPD and relevance of training
Robust supervision
Open door policy
File reviews
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Lack of management competence
Inadequate business planning, no succession planning, poor resourcing, failure to supervise staff or office.
Robust strategic plan reviewed 6 monthly includes succession planning
Comprehensive supervision procedures
Management/supervisor training, managed through appraisals and learning & development plans
Impact risks
Acting outside regulatory permissions
Failure to obtain practising certificate/licence/recognition, failure to obtain waiver, failure to have PI cover, failure to meet conditions.
Renewals diarised and managed by COLP
Bogus firm or individual* Unregulated person cloning the identity of a genuine firm or individual, setting up a fictitious firm or calling themselves a solicitor.
Always check unknown firms in Law Society’s database and on Lawyer Checker
Call local firms to verify existence
Written evidence in all cases
Breach of confidentiality Misuse of client information for cross-selling purposes, failure to protect security of information on laptops.
Client Care Policy
Information Security/Manage-ment Policy
Bribery & corruption Facilitation payments; paying for work outside referral agreements; tampering with evidence.
Firm has Anti- Bribery Policy
All members of staff trained
file reviews
Conflict of interests Client/client conflict, personal conflict.
Rigorous Conflict of Interest Policy
Staff training
Monitoring of conflict exceptions
Criminal association Funding received from terrorist network.
Know your client – clients identified in every case
Anti-Money Laundering Policy
All staff trained on AML and mortgage fraud annually
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Discrimination Direct discrimination, indirect discrimination, victimisation, harassment, failure to make reasonable adjustments.
Equality and diversity policy rigorously enforced
Client Care Policy addresses reasonable adjustments
Monitoring
Staff training
Whistleblowing policy
Disorderly closure Failure to inform clients that firm closing, failure to secure client files.
Closure plan
Would liaise with SRA if necessary
Failure to co-operate or comply
Failure to inform of firm closure, failure to respond or to make records/self available, failure to comply with decision of Legal Ombudsman, failure to comply with a relevant direction.
Principle 2 – act with integrity
Principle 4 – act in client best interests
Principle 5 – provide a proper standard of service
Written Complaints Procedure
Failure to meet duties to 3rd parties or the court
Breach of undertaking, failure to comply with court order.
Monitoring of Undertakings Register
COLP monitoring of Chapter 5 outcomes
Inadequate complaints handling
Failure to deal with complaints in a timely manner, consumers not made aware of their rights to complain.
Uniform initial letters and invoices to clients include how to complain
Written Complaints Procedure
Misleading a party Giving false information, perverting the course of justice, misleading practising arrangement, forgery
dishonest record keeping
Beware own interest conflict cases or reasons for client bias
Close supervision
File reviews
Periodic review of structure
Misleading or inappropriate publicity
Misleading publicity re: business, costs or services, cold calling.
Website Management Policy
Website reviews
Social Media Policy
Misuse of money or Mortgage fraud, tax fraud, insurance Anti-mortgage fraud policy
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assets fraud, false expense claims, immigration fraud.
Awareness of possibility of forged documents
Money laundering Passing proceeds of crime through client account, failure to carry out customer due diligence, failure to report suspected money laundering
Strict Anti-Money Laundering Policy in place
Staff training
Not allowing client account to be used as private banking facility
Effective supervision
Failure to provide a proper standard of service
Acting without due regard to client's mental capacity or other vulnerability, client care costs information deficient, delay, failure to inform/reply.
Client care policy
Uniform client care letters and costs estimates
Staff training on vulnerability issues particularly for clients who do not speak English
Monthly review process
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APPENDIX 5B
Compliance Plan
PLEASE SEE SEPARATE COLP AND COFA COMPLIANCE PLANS
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APPENDIX 5C
COLP/COFA – BREACH REPORTING FORM
COLP/COFA Should this report be sent to: 1. COLP; 2. COFA; 3. Both?
[Delete as appropriate]
Date: Please insert date of incident/breach:
If delay in reporting, please explain:
Issue of concern:
Please identify the issue:
Relevant practice or other rule:
Please identify the Rule alleged to be broken:
Action taken/to be taken:
What action do you consider should be taken?
By whom: By when:
Remedial action taken:
For COLP/COFA use
Immediate SRA report?
Yes/No/Not sure If ‘no’ or ‘not sure’, reason for not reporting:
(Delete as appropriate)
Non-material breach
No pattern of non-compliance and incident on its own is not material
Not a breach of the Principles or Code of Conduct
Other (please clarify)
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Signed by Partner resp- onsible for the client matter the subject of the report:
Signed by COLP/COFA:
Sequential number of report:
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APPENDIX 5DA
OUTSOURCING POLICY
The firm prefers to internalise all aspects of its service wherever possible but recognises that some aspects of its operations are better dealt with externally. The firm will outsource only where:
there is a clear business need
it is cost effective to do so
the firm can manage the risks satisfactorily
This applies to any outsourced service, whether it relates to direct client service (eg digital dictation) or to indirect client service (eg, office cleaning).
The Senior Partner, Russell Conway, is responsible for implementation and supervision of this policy, and will review it at least annually.
Members of the firm must appreciate that outsourcing is a matter that the firm takes seriously because it has a very direct impact on the service that we provide to our clients. Our clients will not tolerate second best and we owe it to them to ensure that wherever we outsource a service that it meets the same standards that we would expect of ourselves. To this end the firm has designed the following procedures:
we will maintain a list of all outsourced activity
every outsourced contract must be in writing and approved by the Senior Partner, on advice from others if appropriate
we will follow all of the Principles, but Principles 5 (proper standard of service), 7 (compliance with legal and regulatory obligation) and 8 (run the business effectively and with sound risk management principles) are particularly relevant. On any proposal, you must review it critically as against each Principle and ensure that there is no breach
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we will check quality by obtaining at least two references from each prospective provider, at shortlist stage. We will monitor performance (speed, quality, accuracy, confidentiality, as a non-exhaustive list, against any service standard specified) on an ongoing basis. Members of the firm are encouraged to provide constructive feedback on day to day experience, and we will provide feedback on quality to the provider
the provider’s equality and diversity policy must be no less comprehensive than the firm’s policy. Any evidence of discriminatory behaviour will preclude any contract. Similarly the firm will not be associated with discriminatory practices at an outsourced provider and a contract must contain a right to terminate on this ground
confidentiality is critical in any law firm and we will insist that providers treat our client information with at least the same level of confidentiality as we would treat it ourselves. Every outsourced contract must be in writing and must contain a specific confidentiality clause that complies with Outcome 4.1 and with IB 4.3. These require the firm to ensure that client confidentiality is protected. Further, no outsourcing arrangement can adversely affect the obligations we owe to clients, for example any contract for digital dictation must provide for a turnaround time that does not compromise the service we promise to offer to our clients
In very sensitive areas where there is risk of material harm to the firm or to its clients, the firm will insist on an audit and checking provision in outsourced contracts. Levels of protection will vary according to the outsource, but for example any contract outsourcing the processing of the firm’s client data must contain such a provision with a right of entry to the provider’s premises [and the right to take copies]. Similarly the firm will take steps to ensure that suppliers of critical services are credit checked, have a proper and up to date DPA registration, and are properly authorised for the service they wish to provide.
Under no circumstances will the firm outsource a reserved legal activity
Outsourcing contracts must not debar the SRA from performing its monitoring and regulatory functions and must allow the SRA to obtain data from or to enter the premises of the provider
The contract must not breach the firm’s SRA Authorisation. For example, it is completely unacceptable to outsource work to a third party where it is known that a struck-off solicitor is involved without specific investigation and approval from the SRA
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Before deciding to proceed, the Senior Partner will analyse the proposal from a risk perspective and will collate all this information to determine whether to proceed. Critical to this evaluation is a determination of whether the outsourcing is in client best interests, or whether it promotes the firm’s interests over its clients. Issues such as references, confidentiality, conflicts of interest (particularly if the provider acts for competitors), quality of service, adherence to equality and diversity, publicity code, and risk to the Firm (eg, reputational, breach of client service requirements) must all be considered. Any offer of an inducement MUST be disclosed to the Senior Partner and will be a material factor in a decision whether to proceed
Arrangements with a trial period before commitment are preferable to a long term commitment even if it is cheaper to sign for a longer term
The Senior Partner will consider all these issues in the annual review and will raise concerns with providers. Breach of the equality requirement (amongst other things) will normally result in immediate cancellation of an outsourced contract.
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APPENDIX 5DB CONFIDENTIALITY AND DATA PROTECTION AGREEMENT
THIS AGREEMENT is made INSERT date BETWEEN
1. Oliver Fisher Solicitors (‘the Firm’); and
2. NAME of supplier (‘the Supplier’)
RECITALS 1. The Firm trades as a firm of Solicitors and has a requirement for INSERT type of service services (‘the Service’) and has agreed to
engage the Supplier for this purpose on terms separately agreed apart from the matters set out in this Agreement
2. The Supplier has agreed to sign this Agreement to ensure confidentiality of the Service
IT IS AGREED as follows: In consideration of the Firm commissioning the Supplier for the Service the Supplier undertakes that in the performance of the Service it will:
1. Take all reasonable and commercially appropriate steps to ensure the security of the Firm’s data at all times
2. Comply in all respects with applicable laws relating to data protection
3. Keep all of the Firm’s data strictly confidential at all times and not to disclose any of it to any third party other than with the Firm’s
written consent in advance
4. Allow the Solicitors Regulation Authority to have access to the Firm’s data at the Supplier’s premises or under its control on an
appropriate request from them
5. Not acknowledge the existence of this contract to anyone (except to the Firm and to any third party on the Firm’s written direction)
The Supplier further confirms that it accepts and will comply with the Firm’s Equality and Diversity Policy and Anti-Bribery Policy (attached) IN WITNESS this Agreement is signed on today’s date Signed electronically by INSERT Name ) For and on behalf of the Supplier )
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APPENDIX 5E
RISK ASSESSMENT CHECKLIST
fee earner to complete this form at the opening of every matter
Client Name Matter Number
Fee earner
I confirm that I have assessed this matter against the risk factors set out below and I have decided:
1. to decline to act for the reason identified in the checklist
2. to continue with the file as the matter is low risk
3. to refer the matter to the Senior Partner for review as a high risk case
RISK INDICATORS
a. my client does not present as hostile and unco-operative at interview
b. my client does not have irrational or unreasonable expectations of results we can achieve
c. my client is not seeking advice/action in respect of an area of law or practice which is unfamiliar to the firm or beyond the technical competence of the firm.
d. my client is not seeking advice/action in respect of an issue where the likely costs to him/her are wholly disproportionate to the value of the issue in dispute
e. (if appropriate) my client does not demonstrate an obvious unwillingness to pay for the provision of legal services
f. my client’s matter does not qualify as high risk under the criteria set out below
HIGH RISK CRITERIA
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if any of the following applies to your matter then it is automatically high risk
1. All residential property matters where the consideration exceeds £1 million
2. All equity release matters
3. Any collective investment scheme for land purchase
4. Any Legal Aid case inherited from another firm, or where there has been a change of fee earner
5. Children cases where there are more than 4 parties to the litigation
6. Any matrimonial or family case where the assets exceed £1 million
7. Any housing case where there is a S21 Notice, or where the tenant is in danger of losing their home
8. Any housing case where the Firm acts for a landlord seeking possession
9. Any Will instructions which involve complicated Trusts
10. Any probate case with a value over £1 million
11. Any probate case where the clients are in a hurry
12. The client lives abroad and/or has foreign business connections
13. Any matter where the client has a history of abortive purchases
14. The client has complained previously
Signed
Dated
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APPENDIX 5F
HIGH RISK FORM
Client Name
Matter Number
Fee earner
I have identified this matter as HIGH RISK because:
Please mark the option/s which have influenced your decision
1. All residential property matters where the consideration exceeds £1 million
2. All equity release matters
3. Any collective investment scheme for land purchase
4. Any Legal Aid case inherited from another firm, or where there has been a change of fee earner
5. Children cases where there are more than 4 parties to the litigation
6. Any matrimonial or family case where the assets exceed £1 million
7. Any housing case where there is a S21 Notice, or where the tenant is in danger of losing their home
8. Any housing case where the Firm acts for a landlord seeking possession
9. Any Will instructions which involve complicated Trusts
10. Any probate case with a value over £1 million
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11. Any probate case where the clients are in a hurry
12. The client lives abroad and/or has foreign business connections
13. Any matter where the client has a history of abortive purchases
14. The client has complained previously
Additional information
Senior Partner’s advice
Risk Assessment
Normal High
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APPENDIX 5G
CASE PLAN
Fee earner Supervisor
Others involved
Brief description of matter
Key stages with anticipated timescales
1.
2.
3.
4.
Objectives
Options available
Costs estimate/funding/billing frequency
Anticipated risks/problems
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Agreed service levels, including means and frequency of communication
Other (eg evidence needed in litigation cases)
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APPENDIX 5H WORK TYPES
included work excluded work
Matrimonial and family law Criminal defence
Mediation Defamation
Conveyancing Personal injury
Wills and probate Medical negligence
Housing Insolvency
Landlord and tenant Welfare benefits
Civil litigation Consumer law
Immigration
Intellectual property
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APPENDIX 5J GENERIC RISKS
Matter type Generic risks
Residential conveyancing
Residential conveyancing sale Clients anticipate impossible timescales Correct price in Contract and Transfer Missing completion date Non redemption of all mortgages Failure to account to correct client for proceeds of sale Inaccurate preliminary enquiry replies Failure to check correct plans being used Failure to check Title Deeds
Residential conveyancing purchase Failure to ascertain planning/building regulation/listed building contents in place
Failure to conclude correct searches Clients anticipate impossible timescales Correct price in contract and transfer Missing completion date Incorrect or late payment of SDLT Incorrect planning Title issues Mortgage fraud Completion without having a valid priority search at Land Registry or
bankruptcy search Failure to register title at Land Registry within relevant search periods Incorrect or out of date searches Failure to register mortgage at Companies House within 21 days where
applicable Failure to get undertaking to redeem all charges
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Late submission of title information document/deeds to lender as per their instructions
Residential conveyancing remortgage Clients anticipate impossible timescales Title issues Missing completion date Failure to register title at Land Registry within relevant search periods Incorrect or out of date searches Incomplete information from borrower Failure to register mortgage at Companies House within 21 days where
applicable Failure to redeem all existing charges Late submission of title information document/deeds to lender as per their
instructions
Residential conveyancing lease Clients anticipate impossible timescales Missing completion date Inadequate lease provisions - CML Guidelines Failure to see bankruptcy provision in lease Failure to ascertain planning/building regulation position Failure to conclude correct searches Incorrect payment of SDLT Late payment of SDLT Title issue Incorrect planning Defective issues Completing without a valid priority search Failure to register tite at Land Registry within relevant search periods Incorrect or out of date searches Failure to register mortgage at Companies House within 21 days where
applicable Non-registration of notices required under the lease Late submission of title information document/deeds to lender as per their
instructions
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Transfers of equity Client is subjected to undue influence or duress in agreeing to buy/sell or to settle the price at other than market value
Client does not wish to seek independent advice on valuation
Mortgage fraud by not identifying the true value. Price stated on TR1 does not accord with valuation on mortgage offer Rapid transfer (ie owned less than six months could give rise to suspicions
of money laundering
Deed of trust under which existing co-owners own the property is unavailable so can't be sure of precise shares
Loss of an existing deed of trust
Shared ownership Client doesn't understand the complex shared ownership provisions
Lease does not allow 'staircasing' to 100%
There is no mortgagee protection clause
Buy-to-lets The lender does not know that the property will be used as a buy to let The property is not sold with vacant possession on completion
The property is really a House in Multiple Occupation
The title documents impose restrictions on letting the property
Property litigation
Landlord and tenant Missing Court application dates Non registration of the lease, if relevant SDLT liability, incorrect payment of duty either on a new lease or
underlease or if due on assignment of an existing lease Late payment of SDLT Completing without a valid priority search Not meeting clients' demands on time Missing completion dates Not serving relevant notices upon completion of an assignment or
underletting Title issues Incorrect planning use Defective leases VAT considerations
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Housing Non-compliance with Housing Disrepair Protocol In housing matters care should be taken as often a client’s home is at stake.
Dates of hearings must be recorded and all appropriate time limits noted.
Commercial property
Commercial conveyancing sale Clients demand impossible timescales Correct price in contract/transfer VAT considerations Missing completion date Non redemption of all mortgages Failure to account to correct client for proceeds of sale Failure to check title
Commercial conveyancing purchase Clients demand impossible timescales Correct price in Contract/Transfer VAT considerations Missing completion date Incorrect or late payment of SDLT Incorrect planning Title issues Completion without a valid priority search Failure to register title within priority period Incorrect or out of date searches Failure to register mortgage at Companies House within 21 days where
applicable Late submission of title to lender Failing to get undertaking to redeem all charges
Commercial conveyancing remortgage Clients anticipate impossible timescales Missing completion date Failure to register title within priority period Incorrect or out of date searches Incomplete information from borrower Failure to register mortgage at Companies House within 21 days where
applicable
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Failure to redeem all charges
Commercial conveyancing lease Clients demand impossible timescales VAT issues Missing completion date Incorrect or late payment of SDLT Title issues Incorrect planning use Defective leases Completing without valid priority search Failure to register title within priority period Incorrect or out of date searches Failure to register mortgage at Companies House within 21 days where
applicable Non registration of notices required under the lease Failure to send title to lender
Wills, Probate, Tax and Trusts
Wills Failure to check title
Failure to identify all prospective beneficiaries
Failure to advise on inheritance tax claims
Failure to ensure correct execution
Probate/Estate administration Delays and not meeting client’s expectations Failing to ascertain correct assets and liabilities of estate and administering
incorrectly Not observing key dates such as 2 years for deed of variation Failure to check title
Civil Litigation
Civil litigation, other than in connection with property
Each case has its own risks and should be subject to a specific analysis of that risk on inception and initial advice to client – most notably limitation dates
Family Law
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Family Conflict checks very important and should be vigorously carried out. Care should be taken in high value cases and the Senior Partner consulted if the assets in dispute exceed our insurance limit.
Confidentiality issues, i.e. do we have authority to disclose certain things to third parties
Not complying with Court directions, eg due to lack of instructions
Not ensuring the appropriate funding is obtained
Not ensuring that prior authority is granted for incurring disbursements, eg expert fees regime
Clients failing to keep appointments either with experts or us and therefore not enabling us to comply with the Court timetable.
Acting for both parents in care proceedings and then a dispute arises between them
Failure to notice conflict of interest because wife has reverted to maiden name
Missing key dates, eg service of petition, filing financial statement, questionnaire, hearing dates, application for Decree Absolute
Failure to obtain typed financial orders
Failure to implement order, eg property transfer
Overlooking value of assets, eg pensions
Failure to notice conflict of interest because not checked all extended family
Children’s work Failure to notice conflict of interest because not checked all extended family
Missing key dates, eg filing statement and hearing dates
Acting for both parents in care proceedings and then a dispute arises between them. Conflict check essential
Mediation Failure to notice conflict of interest because not checked all extended family
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APPENDIX 5K GENERIC KEY DATES
matter type generic key dates
Residential conveyancing
Residential conveyancing sale Intended exchange dates Completion date Redemption of mortgage date set by lender ie date on redemption statement,
often short and for an offset may only be valid for 24 hours
Residential conveyancing purchase Intended exchange date Expiry of mortgage offer for new build Completion date SDLT date (-30 days to submit after completion) Priority search dates registered 6 weeks unregistered land 4 weeks - registration
at Land Registry before expiry of time Land Registry requisition - expiry If mortgage as well then bankruptcy search priority period (registration at Land
Registry 4 weeks from being made), registration at Companies House of legal charge (company borrower 21 days from completion)
Deeds to lender
Residential conveyancing remortgage Completion date Priority search dates registered 6 weeks, unregistered land 4 weeks - registration
at Land Registry before expiry of time Bankruptcy search if unregistered land or if borrower is an individual priority
period (registration at Land Registry 4 weeks from being made) Registration at Companies House if company (21 days from completion) Land Registry date (3 months)
Residential conveyancing lease Intended exchange date
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Completion date Search Priority Date 6 weeks registered land, unregistered land 4 weeks If mortgage then see dates for registration SDLT date (- 30 days to submit after completion) Land Registry date 3 months
Property litigation
Property Litigation: Lease renewals Acting for Tenant – date of termination in section 25, or date before date of termination Section 26 Notice – issue proceedings or extend by agreement in writing.
Acting for Landlord – 2 months after service of Section 26 Notice (serve Counter Notice if wish to oppose Lease renewal).
Acting for Landlord or Tenant – 4 months after issue of proceedings – serve proceedings.
Property Litigation: General Property Disputes
6 years from cause of action arising – issue proceedings 4 months from issue of proceedings – serve proceedings 1 year anniversary of interruption of prescriptive right – issue proceedings or
application to Land Registry 10/12 years anniversary of adverse possession where acting for owner of paper
title – issue proceedings or application to Land Registry 14 days following receipt of Party Wall Act Award – apply to vary or rescind if
required
Wills, Probate, Tax and Trusts
Wills Aim to submit draft within 1 week and complete within two weeks of receipt of instructions and client identification
Probate Return of information to HMRC Payment of inheritance tax Expiry of section 27 notices to advertise for creditors Expiry of six months post grant for claims under Inheritance (Provisions for
Family and Dependants) Act. Filing of tax returns
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Payment of income and capital gains tax Expiry of 2 years for completion of Deed of Variation RPA claim deadline
Lasting Powers of Attorney and mental capacity issues
Self imposed deadlines may be applicable where client ill or power of attorney needed to complete another transaction
Trust Creation Report trust to HMRC and pay tax if necessary Client deadlines Deadlines if legislative changes imminent
Trust Administration
Filing of income and capital gains tax returns and papers Payment of tax Provide beneficiaries with relevant information for their own tax returns Vesting dates for beneficiaries
Inheritance, income and capital gains tax advice
Comply with legislative requirements End of tax year deadlines
Income and capital gains tax advice Comply with legislative requirements End of year deadlines
Civil Litigation
Civil litigation, other than in connection with property
Court Imposed Deadlines/directions Limitation – 6years or 3 years or 2 years CPR deadlines
Family Law
Divorce Date of Marriage
Date of Separation
Issue of proceedings
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Petition and Statement of Arrangements sent to Respondent
Petition and Statement of Arrangements issued
Acknowledgment of Service to Respondent
Application for Directions for Trial and Affidavit in Support of Petition filed
Certificate of Entitlement and s.41 Certificate
Decree Nisi Granted
Earliest date for application by client for Decree Absolute
Earliest date for application by Respondent for Decree Absolute
Application for Decree Absolute issued
Decree Absolute granted
Cost Reviews
Date for last submission of claim for costs to LAA or final bill to client if privately funded
Financial Matters Referral to mediation
Form A Issued
Form A & Notice of First Directions Appointment served
Form E Sworn
Form E filed and served
Statement of Issues filed and served
Chronology filed and served
Questionnaire filed and served
Costs form filed and served
Replies to Questionnaire filed and served
Expert Evidence filed and served
First Directions Appointment Hearing
Financial Dispute Resolution Hearing
FDR Costs form
Consent Order
Instructions to counsel
Final Hearing
Trial bundle filed
Family Law – Emergency Protection Order Date of Issue
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Date of First Hearing
8 days later lapse
Interim Care Order/Interim Supervision Order
Date of Issue
Date of First Hearing
Contested ICO Hearing
Expiry Dates of ICO/ISO renewal
Subsequent hearing dates Interim Review / Directions Hearing
Dates for filing of client’s evidence
Dates for filing of other party’s evidence
Dates for filing of witness evidence
Advocates Meetings
Permanence Planning Meetings
Instruction of Counsel
Date of Final Hearing
s.8 Children Act 1989 Referral to mediation
Date of Issue of Proceedings
Service of documents in advance of preliminary hearing
All hearing dates
Dates for filing of client’s evidence
Dates for filing of other parties evidence
Dates for filing of witness evidence
Instruction of Counsel
Date of Final Hearing
Injunction Date of Issue
Service of documents in advance of preliminary hearing
All hearing dates
Dates for filing of client’s evidence
Dates for filing of other party’s evidence
Dates for filing of witness evidence
Instruction of Counsel
Date of Final Hearing
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APPENDIX 5L
CONFLICT EXCEPTIONS FORM
Matter Number: Matter Type:
Fee earner: Client Name:
Description of matter:
OWN INTEREST CONFLICT
I believe I have a personal conflict because:
CLIENT CONFLICT
I believe there is a client conflict because:
I believe the Firm can act in this matter under O3.6 or O3.7 because:
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SENIOR PARTNER’S SIGN OFF
I agree that the firm can act in this matter
Signed:
Dated:
I do not agree that the firm can act in this matter. Please notify the client immediately
Signed:
Dated:
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APPENDIX 5M
MONTHLY MATTER REVIEW
Fee earner Month
Action item Agree Disagree Comment
I have checked the list of my files in full and all my files are listed
I have checked all files for inactivity and have explained to the client where needed
I have closed files where appropriate and completed the file closure forms
I have no files that should be transferred to a person with more expertise
I have no files which should enter or leave the high risk register
I am not aware of any matters which may lead to a complaint or claim
I have dealt with client and office balances and WIP balances needing attention
I have identified files for billing under the firm’s billing procedure
I have no other files appropriate for billing
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Costs information is up to date, costs information provided to the client gives adequate headroom for the firm’s costs, and no client update is necessary
I have recorded and met all key dates. No key date is in jeopardy including costs budget dates
I need a review or second opinion on these files:
Provide details of any file where you would like a review
Signed Dated
Please complete and return to Senior Partner within 5 days of receipt
If you have answered ‘Disagree’ to any question, you must provide full details
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APPENDIX 5N
File Review Form
File name Matter number
Type of work Fee earner
Reviewed by Date
Yes No N/A Specify any corrective action necessary Correctives completed?
File opening
Procedures followed
Identity checked
Client care/terms of business sent/returned
Note of instructions
Instructions confirmed
Costs information
Conflicts checked
Appropriate risk assessment
State of file
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Appropriately filed and orderly
Key dates noted on file and in backup system
Summary sheet completed
All related files identified
Separate papers identified
Any undertakings authorised/clearly indicated
Publicly funded work
Eligibility checked on file
Statutory charge/contributions
Costs liability/estimate
6 month cost information
Progress of matter
Case plan apparent
Case plan updated
Progress fully noted
Costs updated
Client informed of progress
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Services of others
Selected from approved list?
If no, file note/assessment?
Financial management
Time recorded properly?
Disbursements recorded?
Complaints
File free from complaints?
If no – appropriate response/follow-up?
Legal Issues
Fee earner aware of relevant law?
Appropriate procedures being used effectively?
Corrective action
Corrective action completed?
Yes No Signed Dated
Reviewer’s comments
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APPENDIX 5P
Money Laundering Regulations Client Identity Check (ML1)
Client name:
Matter number:
Client Due Diligence Procedure Adopted
Simplified
Standard
Enhanced
If not standard, please state why:
Private Individuals
One of:
Full current passport
Full UK/EU driving licence
Other evidence of identify (specify)
Number & expiry date
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One of:
Utility bill
Recent bank statement
Other evidence of address (specify)
Details (eg company name/date)
Quoted company
Copy Certificate of Incorporation
Companies Search
Evidence of authority of representative
Details
Other businesses
Individual checks on 2 officers
Copy certificate of incorporation
Evidence of authority of representative
Details
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Beneficial Owner (if any)
The beneficial owners are:
I have obtained, verified and attached all documentation required to verify the beneficial owners identity
Yes / No
Completed by:
Dated:
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APPENDIX 5Q
Money Laundering Regulations Report Form (ML2)
SECTION 1 CLIENT DETAILS (fee earner to complete)
Name
Surname Title
Forename/s
Also known as
Address
Postcode
Telephone
Home Mobile 1
Work Mobile 2
Email 1 Email 2
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Birth details
Date Place
Source of client/Introducer
Nature of instructions
Reason for report (attach confidential memo if appropriate)
Signed Dated
SECTION 2 MLRO TO COMPLETE
Date ML2 received
If decided to report to NCA
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Reasons for reporting
If decided not to report to NCA
Reasons for not reporting:
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Consent to inform client (exceptional)
I consent to the client being informed that we will be reporting/have reported to NCA on grounds of legal professional privilege
Signed (only sign if consent is granted)
Date of consent
Date of report to client (attach copy letter or attendance note)