Client Definition

GLOSSARY

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What does Client mean?

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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�Ѿ��پ��پ��ǲ�—c��𳦰�� How a sentence is reached When determining a sentence, a court will usually consider any statutory sentencing range, the applicable Sentencing Council (SC) guidelines including any offence specific sentencing guideline, the overarching guidelines and sentencing judgments from the Court of Appeal. The SC’s offence specific guidelines or the general guideline set out a stepped approach which the court must follow. See Practice Notes: Sentences imposed following conviction and Sentencing Council General Guideline—Overarching Principles. Generally, in sentencing exercises the court will need to consider the following: • the relevant starting point in the Sentencing Guidelines • the aggravating factors of the offence • the mitigation and personal circumstances of the defendant • any reduction in sentence for a guilty plea • whether the offender is dangerous and if there is a significant risk of harm through the commission of further specified offences • any ancillary orders that are appropriate • the totality of the sentence to ensure it is proportionate to the offending behaviour Mitigation The...

Practical steps following a decision in tax matters—checklist

Practical steps following a decision in tax matters—checklist This Checklist has been written by Anne Redston, Barrister. It is her personal view; she is not authorised to speak for the Tribunals Service or the judiciary. The receipt of an HMRC decision normally starts the clock ticking for appealing to the First-tier Tax Tribunal (FTT). This Checklist may be useful to prevent you overlooking important points at that critical juncture. It considers: • whether you have an appealable decision • the time limits for: ◦ making an appeal, or ◦ accepting or requesting a review of a decision • the HMRC review process and time limits following such a review • some practical points to consider when making an appeal, including the merits of the case and the costs and privacy implications of an appeal, and • the procedural requirements when appealing to the FTT This Checklist is only a summary and does not cover all situations. You may need to take further advice in relation to your client’s...

Inheritance (Provision for Family and Dependants) Act 1975 applicant—flowchart

Inheritance (Provision for Family and Dependants) Act 1975 applicant—flowchart This flowchart deals with the classes of applicants that may make a claim for reasonable provision from the deceased’s estate under the Inheritance (Provision for Family and Dependants) Act 1975 (I(PFD)A

Improving efficiency—flowchart

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

Client care policy—regulatory requirements 2011 [Archived]

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,...

Money Laundering Regulations 2017—scope and application

Money Laundering Regulations 2017—scope and application This Practice Note sets out the scope and application of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017), SI 2017/692, as amended. Scope The MLR 2017 form part of the UK’s overall anti-money laundering (AML), counter-terrorist financing (CTF) and counter-proliferation financing regime. They set administrative requirements which run parallel to the criminal element of the regime contained in the Proceeds of Crime Act 2002 (POCA 2002), the Terrorism Act 2000 (TA 2000) and various pieces of sanctions legislation. There is some overlap. The MLR 2017 have been amended a number of times since coming into force in June 2017. See further Practice Note: Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017—key information for businesses. Application The MLR 2017 apply to: • relevant persons, ie: ◦ credit institutions ◦ financial institutions ◦ cryptoasset exchange providers ◦ custodian wallet providers ◦ auditors, insolvency practitioners, external accountants and tax advisers...

Discover our 3935 Practice Notes on Client

Ireland—Simple mediation clause

Ireland—Simple mediation clause Nature of the clause This Precedent is a short-form clause for use in a business-to-business (B2B) commercial contract providing for mandatory mediation in the event of a dispute arising out of the agreement. This Precedent clause provides that the parties will seek to settle the dispute. Unlike litigation and arbitration clauses, the purpose of this clause is for the parties to seek to resolve the matter with the assistance of a mediator, but without the need for formal contentious proceedings. What is mediation and why have a mediation clause? Mediation is a form of alternative dispute resolution (ADR) in which a third-party mediator follows a structured process to facilitate an agreed settlement between parties to a dispute. Mediation is a non-binding dispute resolution process, ie any agreement reached in mediation will only be binding on the parties if they enter into a settlement agreement. Mediation allows the parties a high degree of control compared with litigation and provides a collaborative process for dispute resolution. Further advantages of...

Conflicts guidelines—property transactions

Conflicts guidelines—property transactions Our Conflicts, confidentiality and disclosure policy sets out our general position on when we can act in conflict situations. We also issue guidelines for certain [departments OR types of work]. These guidelines illustrate how our policy could apply in different situations, but they are not intended to be exhaustive or rigid. In each situation covered by these guidelines we must consider whether a conflict arises and, if so, whether we can act. 1 Substantially common interest 1.1 We will not act for clients under the substantially common interest exception where: 1.1.1 we may need to negotiate on matters of substance between the clients, eg negotiating on price between a buyer and seller of a property 1.1.2 there is unequal bargaining power between the clients, eg where a builder is selling to a non-commercial client 1.1.3 one or both clients will be prejudiced by lack of separate representation 1.1.4 we cannot represent the client even-handedly, or 1.1.5 the clients’ interests in the end...

Dive into our 1279 Precedents related to Client

Can an insurer refuse to provide internal correspondence and case notes relating to an insurance claim where a subject access request (SAR) is made under the UK GDPR for such information?

Can an insurer refuse to provide internal correspondence and case notes relating to an insurance claim where a subject access request (SAR) is made under the UK GDPR for such information? This Q&A assumes that the organisation that has received the SAR is a ‘controller’ of the relevant data. For an introduction to the United Kingdom General Data Protection Regulation, Retained Regulation (EU) 2016/679 (UK GDPR) regime, including key data protection terms and concepts, such as ‘personal data’, 'processing', 'data subject' and ‘controller’, see: Data protection toolkit. As further explained in Practice Notes: The UK GDPR and DPA 2018 for insurers and Data subject rights—access, Article 15 of the UK GDPR gives individuals a right to obtain confirmation from a data controller as to whether or not personal data concerning them is being processed, and where it is, access to the personal data and certain further information. A request for such information is commonly known as a ‘subject access request’ (or a 'SAR' or 'DSAR'). In order to assist...

Where a settlement agreement provides for the employer to make a contribution to the employee’s legal costs, payable direct to the employee’s law firm, can the law firm bring proceedings against the employer if it fails to pay?

Where a settlement agreement provides for the employer to make a contribution to the employee’s legal costs, payable direct to the employee’s law firm, can the law firm bring proceedings against the employer if it fails to pay? For information on: • the legal requirements that must be met for a settlement agreement to be binding and valid to settle statutory employment claims, see Practice Note: Settlement agreements in employment—legal requirements • the practical issues that typically arise in relation to a settlement agreement, see Practice Note: Settlement agreements in employment—practical and tax issues Contribution to legal costs A settlement agreement will typically provide for the employer to make a contribution to the employee’s legal costs. For general information on payment of legal fees incurred by an employee in relation to a settlement agreement generally, see the section of Practice Note: Settlement agreements in employment—practical and tax issues entitled ‘Payment for legal advice’. For a sample clause in the settlement agreement dealing with payment of legal fees, see Clause 13.2...

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USA—state of the states’ AI legal ethics landscape

Law360 : Generative artificial intelligence platforms (ranging from ChatGPT to more specialised legal tools) have numerous applications in the legal profession.

FCA’s Nick Hulme delivers speech on new supervisory strategy for the financial advice sector

The Financial Conduct Authority (FCA) has published a speech by Nick Hulme on its new supervisory strategy for the financial advice sector. The FCA says the strategy focuses on enhancing client outcomes with a less prescriptive, and more outcomes-based approach through the Consumer Duty, allowing firms to innovate, and reduce and prevent serious harm.

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