Practice Management | By Lawyers
Skip to main content

Practice Management

This publication provides everything needed to efficiently manage a law firm.

2 Matter Plans

Overview

The commentary covers ethics, the practitioner–client relationship, matter management tools, including risk and financial management, client communication, costs and billing, and employment, including the employer–employee relationship, recruitment, training, and retention.

The comprehensive Legal Practice Health Check Self-Diagnostic Tool allows a firm to assess its current performance and set goals for future development.

The 101 Staff Handbook contains the policies and procedures a law firm will need. Practice managers can adopt these or use them as a framework to establish bespoke policies.

Precedents in this publication include:

  • a Library of position descriptions;
  • a Library of employment contracts;
  • compliance breach reports, plans, and gap analysis documents;
  • client, matter, and firm-wide risk assessments;
  • a Cyber Essentials Checklist;
  • a Referral Fee Agreement;
  • a Business Continuity Plan;
  • an Asset Register;
  • Firm Organisational Charts;
  • Money Laundering – Independent Audit Checklist.
Icon

2 Matter Plans Included

  • Item icon ALERTS - Nil
  • Item icon Full Commentary - Practice Management
  • Folder icon Reference materials
    • Item icon Electronic Signing and Witnessing
    • Item icon 101 Staff Handbook
    • Item icon Dealing with COVID-19 legal issues
    • Item icon Dealing with Brexit legal issues
    • Item icon Article: Climate Change Risks
    • Item icon Article: A.I. v H. Sapiens
  • Item icon Overview
    The importance of good practice management and sound business skills cannot be overstated as many negligence claims against law firms involve management failures rather than incorrect legal advice. This publication covers areas of management for a legal practice, providing guidance for running a ...

    This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

  • Folder icon A. The compliant practice
    • Item icon The compliant practice
      An organisation's psychology and character flow from the top. Therefore, a firm will not work properly unless the principals are committed to the firm itself and learning and expanding the practice's knowledge base. The management challenge for a principal is to be the leader; competent, ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Regulators
      Part 2 of the Legal Services Act 2007 created the Legal Services Board, a regulator overseeing all 10 official branches of the legal profession in England and Wales. Some of the branches have their own specific regulators:

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon The role of the principals
      Principals of law firms take on many roles. For example, a sole practitioner may be expected to do everything, where partners in a partnership or co-directors in an incorporated legal practice can share the responsibility. A principal is usually a practitioner working on client matters to advise ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Business management
      Policies and procedures The foundation for effective legal practice management is in the policies and procedures that record and streamline the firm’s operations. The 101 Staff Handbook provides detailed and useful policies and procedures for the whole office, designed to be used as it is, or ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Avoiding complaints
      Identifying and addressing common complaints within the firm’s processes can minimise the risk of complaints. Clients will talk about their experiences. It is said that a happy client will tell three others about a good experience, an unhappy client will tell 10 others about a negative ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Team management
      Managerial controls provide the basis for a profitable and low-stress practice. Research by LawCare shows that high work intensity is associated with high levels of burnout, regardless of how much autonomy a person has, or how psychologically safe their work environment is. Implementing sound ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Management matrix
    • Item icon Firm organisational charts
    • Item icon Professional indemnity insurance
      Rule 3.1 of the Solicitors Regulation Authority Indemnity Insurance Rules 2019 provides that a regulated firm must take out and maintain professional indemnity insurance to provide adequate and appropriate cover in respect of current or past practice, considering any alternative arrangements ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Example content - Professional indemnity insurance proposal form
    • Item icon Letter to professional indemnity insurer notifying them of a circumstance or claim
    • Folder icon Library of firm policies
      • Item icon Artificial intelligence use policy
      • Item icon Client account interest policy
      • Item icon Complaints policy
      • Item icon Computer, email and internet usage policy
      • Item icon Company vehicle policy
      • Item icon Corporate social responsibility policy
      • Item icon Cybercrime prevention policy and procedures
      • Item icon Data protection policy
      • Item icon Discrimination and harassment policy
      • Item icon Equality and diversity policy
      • Item icon File retention policy
      • Item icon Flexible working policy
      • Item icon Outsourcing policy
      • Item icon Privacy policy
      • Item icon Whistleblowing policy
      • Item icon Working from home policy
    • Folder icon Compliance officers
      • Item icon Compliance officers
        General responsibilities of compliance officers Legal regulators require firms to implement arrangements ensuring that all firm members, including managers, owners, and employees, comply with their regulatory obligations. A firm’s compliance officer takes the lead and is responsible for ensuring ...

        This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

      • Item icon Compliance breach report
      • Item icon Compliance plan
      • Item icon Compliance gap analysis
      • Item icon Monthly compliance monitoring form
      • Folder icon If required - Changing compliance officers
        • Item icon Apply to change your compliance officers – Solicitors Regulation Authority
        • Item icon Apply for authorisation of a new firm – Solicitors Regulation Authority
        • Item icon Notification letter - Change of compliance officer
    • Folder icon Anti-money laundering
      • Item icon Client Due Diligence and Anti-money Laundering Guidance
      • Item icon Anti-money laundering (AML) obligations
        Everyone regulated under The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (the Regulations) must comply with a complex set of anti-money laundering (AML) obligations. Independent legal professionals, estate agents, and financial ...

        This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

      • Item icon Client and matter risk assessment
      • Item icon Firm wide risk assessment
      • Item icon Example content - Firm wide risk assessment
      • Item icon Anti-money laundering – Policies, controls and procedures (PCPs) approvals
      • Item icon Making a suspicious activity report
        Section 330 of the Proceeds of Crime Act 2002 sets out the consequences of professional advisers failing to file a suspicious activity report. Non-disclosure may lead to a criminal offence carrying a maximum sentence of 5 years imprisonment, even if no money laundering offence has been ...

        This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

      • Item icon National Crime Agency - Suspicious Activity Report - Online System Login
      • Item icon Independent audit
        An independent audit must be carried out if the size and nature of the firm suggest it is appropriate under r 21 of The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017. In the past, the assumption was that only large firms needed to ...

        This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

      • Item icon Money laundering - Independent audit checklist
    • Folder icon Data protection measures
      • Item icon Data management
        The General Data Protection Regulation The General Data Protection Regulation harmonises data privacy laws across Europe, reshaping how organisations approach data privacy and creating a more secure environment, protecting citizens from privacy and data breaches. The principles provide a framework ...

        This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

      • Item icon Data protection policy
      • Item icon Data breach in office reporting
      • Item icon Data breach reporting evaluation
      • Item icon Letter to affected client reporting a data breach
    • Folder icon Information management
      • Item icon Cyber essentials information sheet
      • Item icon Cyber essentials checklist
    • Folder icon Matter management
      • Item icon Matter management
        File notes File notes are a critical item in terms of risk management. Without effective file notes, the file is incomplete, and the practice is exposed. They record:

        This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

      • Item icon Client Details, Identity Verification and Source of Funds
      • Item icon Conflict of interest check
      • Item icon Client care information
      • Item icon Terms of business
      • Item icon Authority to forward documents and information
      • Item icon Safe custody receipt
      • Item icon File review form
      • Item icon File closing checklist
    • Folder icon Library of retainer instructions
      • Item icon Retainer instructions - Criminal - Bail application
      • Item icon Retainer instructions - Private child arrangements
      • Item icon Retainer instructions - Enfranchisement
      • Item icon Retainer instructions - Commercial leases
      • Item icon Retainer instructions - Contract disputes
      • Item icon Retainer instructions - Court of Protection orders
      • Item icon Retainer instructions - Criminal
      • Item icon Retainer instructions - Debt recovery
      • Item icon Retainer instructions - Divorce applications made before 6 April 2022
      • Item icon Retainer instructions - Domestic abuse
      • Item icon Retainer instructions - Employment disputes
      • Item icon Retainer instructions - Employment
      • Item icon Retainer Instructions - Enforcement
      • Item icon Retainer instructions - Estates
      • Item icon Retainer instructions - Financial remedy
      • Item icon Retainer instructions - Freehold property disputes
      • Item icon Retainer instructions - General
      • Item icon Retainer instructions - Powers of attorney and advance decisions - For couples
      • Item icon Retainer instructions - Powers of attorney and advance decisions - For one person
      • Item icon Retainer instructions - Immigration - Business applicants
      • Item icon Retainer instructions - Immigration - Individual applicants
      • Item icon Retainer instructions - Immigration appeal
      • Item icon Retainer instructions - Companies - Incorporation
      • Item icon Retainer instructions - Joint ventures
      • Item icon Retainer instructions - Lease extension
      • Item icon Retainer instructions - Leasehold property disputes
      • Item icon Retainer instructions - Mortgages
      • Item icon Retainer instructions - Motoring Offences
      • Item icon Retainer instructions - Domestic agreements
      • Item icon Retainer instructions - Partnerships
      • Item icon Retainer instructions - Purchase of business
      • Item icon Retainer instructions - Purchase of land
      • Item icon Retainer instructions - Residential leases
      • Item icon Retainer instructions - Sale of business
      • Item icon Retainer instructions - Sale of land
      • Item icon Retainer instructions - Companies - Shareholders agreement
      • Item icon Retainer instructions - Short residential tenancy
      • Item icon Retainer instructions - Short residential tenancy disputes
      • Item icon Retainer instructions - Trusts
      • Item icon Retainer instructions - Wills - For couples
      • Item icon Retainer instructions - Will - For one person
    • Folder icon General deeds, agreements, statements, declarations, consents, and execution clauses
      • Item icon Deeds and agreements
      • Folder icon Deeds
        • Item icon Deed for general use
        • Item icon Deed of assignment of agreement
        • Item icon Deed of assignment of agreement with consent
        • Item icon Deed of assignment of an insurance policy
        • Item icon Deed of assignment of equitable interest in residential land
        • Item icon Deed of gift
        • Item icon Deed of guarantee
        • Item icon Deed of release
        • Item icon Deed of release and grant
        • Item icon General deed of indemnity
        • Folder icon Library of standard clauses for deeds
          • Item icon Amendment
          • Item icon Confidentiality
          • Item icon Confidentiality - Extensive
          • Item icon Costs
          • Item icon Counterparts
          • Item icon Dispute resolution
          • Item icon Events beyond control
          • Item icon Governing law and jurisdiction
          • Item icon Interpretation
          • Item icon No assignment
          • Item icon Notices
          • Item icon Severance
          • Item icon Third parties
          • Item icon Waiver
          • Item icon Whole agreement
      • Folder icon Agreements
        • Item icon Agreement for general use
        • Item icon Boundary agreement
        • Item icon Confidentiality agreement
        • Item icon Construction agreement
        • Item icon Heads of agreement
        • Folder icon Library of standard clauses for agreements
          • Item icon Amendment
          • Item icon Confidentiality
          • Item icon Confidentiality - Extensive
          • Item icon Costs
          • Item icon Counterparts
          • Item icon Dispute resolution
          • Item icon Events beyond control
          • Item icon Governing law and jurisdiction
          • Item icon Interpretation
          • Item icon No assignment
          • Item icon Notices
          • Item icon Severance
          • Item icon Third parties
          • Item icon Waiver
          • Item icon Whole agreement
      • Folder icon Statements and declarations
        • Item icon Statement of truth
        • Item icon Statement of truth - High Court
        • Item icon Statutory declaration
        • Item icon Statutory declaration of solvency
        • Item icon Affidavit - General
        • Item icon Exhibit sheet for affidavits - General
        • Item icon Witness statement - Family matters
        • Item icon Exhibit sheet to witness statement - Family matters
        • Item icon Witness statement - Civil matters
        • Item icon Exhibit sheet to witness statement - Civil matters
      • Folder icon Execution clauses
        • Item icon Execution clauses - Agreements and contracts
        • Item icon Execution clauses - Deeds
        • Item icon Execution clauses - Overseas companies
      • Folder icon Consents
        • Folder icon If required - Personal data consent - General
          • Item icon Letter to client enclosing consent - General
          • Item icon Letter to third party enclosing consent - General
          • Item icon General letter enclosing client consent
          • Item icon General letter enclosing third party consent
          • Item icon Consent to provide information - General
          • Item icon Consent to provide information - General - Third party
        • Folder icon If required - Personal data consent - Health professional
          • Item icon Letter to client enclosing consent - Health professional
          • Item icon Letter to third party enclosing consent - Health professional
          • Item icon Letter to doctor enclosing client consent
          • Item icon Letter to doctor enclosing third party consent
          • Item icon Consent to provide information - Health professional
          • Item icon Consent to provide information - Health professional - Third party
        • Folder icon Change of name
          • Item icon Change of name deed for an adult - Concise
          • Item icon Change of name deed for a minor - Concise
          • Folder icon If required - Enrolment by an adult
            • Item icon Change of name deed for an adult - For enrolment
            • Item icon Statutory declaration - Enrolment of adult change of name deed
            • Item icon Notice for the London Gazette on the change of name of an adult
            • Item icon Consent to enrolment of change of name of an adult
          • Folder icon If required - Enrolment by a minor
            • Item icon Change of name deed for a minor - For enrolment
            • Item icon Statutory declaration - Enrolment of minor change of name deed
            • Item icon Affidavit of best interest for the change of name of a minor
            • Item icon Consent to enrolment of change of name of a minor
  • Folder icon B. The employer/employee relationship
    • Item icon Management matrix
    • Item icon Employing smart people and treating them well
      A firm may pay above-average wages and provide excellent conditions, including training opportunities and flexible work practices. However, if staff are unhappy, the money spent on them will be wasted. Disgruntled employees have high levels of absenteeism, change jobs frequently, and are less ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Recruitment
      Staff costs are the most significant overhead for any law firm, so it is paramount that due priority and adequate resources are given to recruitment. It is a false economy to save money on recruitment if that costs the business time and money later due to internal disharmony, poorly performing team ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Folder icon Hiring staff
      • Item icon Application for employment
    • Folder icon Library of position descriptions
      • Item icon Blank position description
      • Item icon Accounts clerk
      • Item icon Administration manager
      • Item icon Chief executive officer
      • Item icon Executive assistant
      • Item icon Financial controller
      • Item icon Human resources manager
      • Item icon Junior law clerk
      • Item icon Legal practitioner
      • Item icon Legal secretary
      • Item icon Library and information services manager
      • Item icon Marketing manager
      • Item icon Paralegal
      • Item icon Precedents manager
      • Item icon Senior associate
      • Item icon Trainee junior
      • Item icon Word processing operator
    • Item icon Interview notes
    • Folder icon Library of employment contracts
      • Item icon Executive employment agreement
      • Item icon Standard individual employment agreement
      • Item icon Casual employment agreement
      • Item icon Consultancy agreement
      • Item icon Consultant service agreement
      • Item icon Statement of terms and conditions of employment
      • Item icon Non-statutory redundancy payment clause
    • Item icon Induction
      Following an induction policy and procedure ensures new staff are provided with all they need to get started in their new role. The New Employee Checklist precedent will assist in managing this process. When a new employee commences at the firm, it is an opportunity to cement the relationship from ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon New employee induction letter
    • Item icon New employee information sheet
    • Item icon Brief - New employee checklist
    • Item icon Detailed - New employee checklist
    • Item icon Education and training
      Anti-money laundering training Regulation 24(1) of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR), obligates firms to ensure the that:

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Anti-Money Laundering training compliance checklist
    • Item icon Training and development schedule
    • Item icon Whistleblowing policy
    • Item icon Outsourcing policy
    • Item icon Personal relationships at work policy
    • Item icon Workplace health, safety, and welfare
      Employers have statutory obligations and a duty of care at common law to their employees. Legal practitioners have additional professional obligations to behave appropriately towards employees. The Health and Safety Executive (HSE) provides substantial assistance, including template documents, to ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Flexible working policy
    • Item icon Policy and framework on domestic abuse
    • Item icon COVID-19 return to work policy
    • Item icon Internet usage
      An internet usage policy assists all members of a legal practice in understanding the firm’s rules and guidelines about the use of equipment, the office network, and the internet itself. This protects the firm as well as the employee. As a starting point, employees need to be informed that browsing ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Computer, email and internet usage policy
    • Item icon Staff system register
    • Item icon Bullying and discrimination
      Bullying Bullying is a workplace health and safety issue.

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Discrimination and harassment policy
    • Item icon Equality and diversity policy
    • Item icon Performance reviews
      A review of staff performance is a matter requiring careful attention by the principal or human resources manager so that reviews be regularly scheduled and conducted with discretion. Employee reviews are private discussions with each team member to hear their view on the conduct of the practice, ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Performance review form
    • Item icon Leave request form
    • Item icon Accident form
    • Item icon Staff leaving
      For some people, especially young practitioners, their career path may take them out of the firm. No matter how well employees are treated or how highly valued, they will sometimes need or want to move on. Although it can be frustrating as a principal to put enormous resources into recruitment, ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Example - Reference letter
    • Item icon Example - Reference letter 2
    • Item icon Confirmation of employment
    • Folder icon Staff issues and termination
      • Item icon Individual grievance procedure
      • Item icon Recording the details of a meeting with an employee
  • Folder icon C. The practitioner/client relationship
    • Item icon Transparency
      Transparency in price and quality across the legal professions was recommended in 2017 by the Competition and Markets Authority. Regulators acted on this guidance and now require firms to publish information on prices and services they offer. See Rule 1 of the SRA Transparency Rules and the ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Referral fees
      Some firms have arrangements with claims managers or estate agents for clients to be referred to the firm in return for a fee. This arrangement is prohibited for some types of work: s 56 of the Legal Aid, Sentencing and Punishment of Offenders Act 2012. Rule 5 of the SRA Code of Conduct ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Referral fee agreement
    • Folder icon Library of price transparency documents
      • Item icon Conveyancing transactions - Multiple choice
      • Item icon Debt recovery
      • Item icon Employment tribunal
      • Item icon Immigration
      • Item icon Motoring offences
      • Item icon Probate and other estate administration tasks
      • Item icon Purchase of a residential freehold property
      • Item icon Purchase of a residential leasehold property
      • Item icon Sale of a residential freehold property
      • Item icon Sale of a residential leasehold property
    • Item icon Privacy policy
    • Item icon Basis of the relationship
      The relationship between practitioner and client is multi-layered, but the fundamental basis of the relationship is the retainer. This is a contractual relationship evidenced by a written document, oral agreement, or implied conditions. The proximity of the parties means the practitioner owes a ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon New client enquiries
      Firms receive many enquiries from potential clients. Some result in opening a file and a matter proceeding, and others do not. Just as a record of any initial conversations with clients who proceed to instruct the firm is kept on the client’s file, it is also important to keep a record of the ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon New client enquiry sheet
    • Item icon Initial letter to client enclosing Client Care and Terms of Business
    • Folder icon Client care information and terms of business
      • Item icon Client care information
      • Item icon Client care information - Conveyancing
      • Item icon Terms of business
      • Folder icon Library of scopes of work
        • Item icon Scope of work - Annual retainer
        • Item icon Scope of work - Business immigration
        • Item icon Scope of work - Children
        • Item icon Scope of work - Collective enfranchisement - Acting for the freeholder
        • Item icon Scope of work - Collective enfranchisement - Acting for the tenants
        • Item icon Scope of work - Commercial leases
        • Item icon Scope of work - Commercial leases - Acting for the landlord
        • Item icon Scope of work - Commercial leases - Acting for the tenant
        • Item icon Scope of work - Companies
        • Item icon Scope of work - Consumer disputes - Acting for the claimant
        • Item icon Scope of work - Consumer disputes - Acting for the defendant
        • Item icon Scope of work - Contract disputes - Acting for the claimant
        • Item icon Scope of work - Contract disputes - Acting for the defendant
        • Item icon Scope of work - Corporate insolvency
        • Item icon Scope of work - Court of Protection order
        • Item icon Scope of work - Criminal
        • Item icon Scope of work - Data protection - Acting for a data processor - Data breach
        • Item icon Scope of work - Data protection - Acting for a commercial client - Data processing
        • Item icon Scope of work - Data protection - Acting for a data subject exercising rights
        • Item icon Scope of work - Debt recovery - Acting for the claimant
        • Item icon Scope of work - Debt recovery - Acting for the defendant
        • Item icon Scope of work - Divorce
        • Item icon Scope of work - Domestic agreements
        • Item icon Scope of work - Domestic abuse - Acting for the applicant
        • Item icon Scope of work - Domestic abuse - Acting for the respondent
        • Item icon Scope of work - Employment
        • Item icon Scope of work - Employment disputes
        • Item icon Scope of work - Enforcement
        • Item icon Scope of work - Estate disputes - Acting for the claimant
        • Item icon Scope of work - Estate disputes - Acting for the defendant
        • Item icon Scope of work - Estates
        • Item icon Scope of work - Financial remedy
        • Item icon Scope of work - Freehold property disputes - Acting for the claimant
        • Item icon Scope of work - Freehold property disputes - Acting for the defendant
        • Item icon Scope of work - Immigration appeal
        • Item icon Scope of work - Individual immigration
        • Item icon Scope of work - Individual insolvency
        • Item icon Scope of work - Joint ventures
        • Item icon Scope of work - Lease extension - Acting for the landlord
        • Item icon Scope of work - Lease extension - Acting for the tenant
        • Item icon Scope of work - Leasehold property disputes - Acting for the claimant
        • Item icon Scope of work - Leasehold property disputes - Acting for the defendant
        • Item icon Scope of work - Mortgages
        • Item icon Scope of work - Motoring offences - Guilty plea
        • Item icon Scope of work - Motoring offences - Not guilty plea
        • Item icon Scope of work - Motoring offences - Police investigation where no charges expected
        • Item icon Scope of work - Partnerships
        • Item icon Scope of work - Personal injury
        • Item icon Scope of work - Powers of attorney and advance decisions
        • Item icon Scope of work - Purchase of business
        • Item icon Scope of work - Purchase of commercial property
        • Item icon Scope of work - Residential leases - Acting for the landlord
        • Item icon Scope of work - Residential leases - Acting for the tenant
        • Item icon Scope of work - Right of first refusal - Acting for the freeholder
        • Item icon Scope of work - Right of first refusal - Acting for the tenants
        • Item icon Scope of work - Right to manage - Acting for the freeholder
        • Item icon Scope of work - Right to manage - Acting for the tenants
        • Item icon Scope of work - Road traffic accident
        • Item icon Scope of work - Sale of business
        • Item icon Scope of work - Sale of commercial property
        • Item icon Scope of work - Short residential tenancy
        • Item icon Scope of work - Short residential tenancy disputes - Acting for the landlord
        • Item icon Scope of work - Short residential tenancy disputes - Acting for the tenant
        • Item icon Scope of work - Trusts
        • Item icon Scope of work - Wills
        • Item icon Scope of work - Wills and lasting powers of attorney
    • Item icon Authority to act
      The practitioner is authorised by the relationship to act on behalf of the client. The practitioner becomes the client's agent and, owing to the fiduciary nature of the relationship, must exercise that authority strictly in the client's interests. In relation to third parties, the practitioner will ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Guidance on giving tax advice
      Although tax advice often forms part of the general advice given to a client, practitioners need to bear in mind the following:

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Client money
      Client money is all monies held by a law firm for clients who do not belong to the law firm. All practitioners must be familiar with the requirements of maintaining a client account and adhere strictly to them. Firms regulated by the SRA must comply with the SRA Accounts Rules. Firms Regulated by ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Residual balances
      Occasionally, there is a residual balance held on behalf of a client on the completion of a matter. These funds are returned to the client as soon as possible and certainly before closing the file.

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Folder icon If required - Withdrawal of client money
      • Item icon HYPERLINK – Solicitors Regulation Authority - Withdrawal of residual client balances form
      • Item icon Letter to Council for Licensed Conveyancers requesting authorisation to withdraw aged balance
    • Item icon Client account interest policy
    • Item icon Liability in negligence
      The practitioner’s tortious liability is based on negligence. Any failure to achieve the standard of a reasonably competent practitioner in the performance of the retainer will expose a practitioner to an action for negligence by the client. Such acts or omissions may also constitute a breach of ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Practitioner meetings
      In regular meetings of all practitioners, including lawyers, conveyancers, and paralegals, the technical aspects of client matters are discussed, and any developments in the law or practice are covered. This is an opportunity to workshop any issues, discuss tactics, and strategize any roadblocks. ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Client’s right to the practitioner’s file
      The client is entitled to the file on termination of the practitioner-client relationship and the payment of costs. However, the practitioner is entitled to retain anything in the file that is the property of the firm, such as:

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon File retention policy
    • Item icon Client satisfaction survey
    • Item icon Letter to client enclosing survey
    • Item icon Letter to client when no instructions to act
    • Item icon Dealing with complaints
      Encouraging constructive feedback and communication throughout the retainer can help prevent a complaint from arising. Complaints from clients handled well can result in a better working relationship. Regulator codes of conduct require firms to accept responsibility for poor service and put things ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Letter to client with initial response to complaint
    • Item icon Complaints policy
    • Item icon Letter to client with final response to a complaint
    • Item icon Standard letter of demand to client
    • Item icon Legal Aid
      Also known as public funding, legal aid is a welfare provision from the state to individuals who cannot afford the cost of legal representation. It is the payment of fees to firms for their services to represent these individuals, ensuring everyone has access to justice. Legal aid is subject to ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

  • Folder icon D. Ethics
    • Item icon Ethics and professional responsibility
      The ethical obligations of practitioners are based on those assumed by all members of a civilised society. They are extended because of the special relationship that the practitioner has with society as a member of the profession, which establishes and administers society’s laws. An obligation to ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Ethical duties
      The practitioner’s ethical duties can be divided into three categories:

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon How to identify an ethical issue
      The existence of an ethical issue will often be self-evident. Most practitioners will feel a sense of unease when an ethical issue arises, even if they cannot identify the exact nature of the problem. One way to start to do so, is to consider the client, the scope of the retainer, and whether the ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

  • Folder icon E. Management and planning
    • Item icon Legal practice health check self-diagnostic tool
      The first step for existing practices, and a useful checklist for start-up firms, is to assess how the practice is currently performing, considering what could be improved and the existence of any potential risks or issues. A regular firm health check is a tool that can be used to constantly ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Legal practice health check self-diagnostic tool
    • Item icon Strategy and leadership
      Leadership is the key. If the strategic framework is developed only as a hypothetical standard or a management tool and not driven by the principal and the leadership team, the result is more likely to be cynicism, poor morale, and negativity that will be detrimental to the firm’s performance and ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Example - Mission statement
    • Item icon The business plan
      After using the Legal Practice Health Check Self-Diagnostic Tool in the matter plan, the next step is to incorporate the data it provides into a business plan for the practice. If there is focus on how to turn the no answers into yes answers, it can become part of an overall plan for the business, ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Example - Business plan
    • Item icon Firm wide risk assessment
    • Item icon Example content - Firm wide risk assessment
    • Item icon Corporate social responsibility policy
    • Item icon Business continuity plan
    • Item icon Marketing
      Everything the firm does Branding and marketing are a part of everything a firm does. It is not a separate function or someone else’s responsibility. A firm has thousands of opportunities to connect with clients each year; in the office, on the phone, through emails, the post, advertising, and in ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Marketing planner
  • Folder icon F. Financial management and planning
    • Item icon Financial management
      Sound financial management is critical to the success of any business, including a law practice. There is a high correlation between practices with poor financial management and increased complaints and professional negligence claims. Principals who do not manage their practice’s finances ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Practitioner productivity
      Practitioners within the legal practice should be assessed for their contribution to profitability. KPIs can be used as a benchmark and would include file volume, file velocity, the quality of the work, contribution to client relationship management, and development or commitment to the firm’s ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Business performance chart
    • Item icon Asset register
      An asset register allows for the tracking of fixed assets from purchase through to disposal and provides an estimate of their worth. It assists with taxation, insurance, and potential sale of business compliance. It provides an appropriate place to record detailed information, such as serial ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Asset register
    • Item icon Asset register entry slip
    • Item icon Accounting software
      Purchasing good accounting software, and the firm's financial records maintained by a competent bookkeeper or accountant, are both important. However, as there are many accounting software options, it is wise to consult with the accountant and ensure they or somebody else is available to assist the ...

      This excerpt is a preview of the full publication. You can Subscribe Now and gain immediate access to the complete publication.

    • Item icon Manual bank reconciliation
    • Item icon Petty cash reconciliation sheet
  • Item icon Further information
  • Item icon Comments and suggestions for By Lawyers

Our Authors

More than 50 legal professionals have contributed to By Lawyers' publications, all helping to ensure content is updated regularly to reflect changes in legislation, practice and procedure.
Meet Our Authors
Authors