2017 solo THE JOURNAL Autumn - spg.uk.comspg.uk.com/wp-content/uploads/2015/04/015-Solo... · solo Autumn THE JOURNAL 2017 ... • Five marketing mistakes with Facebook and how to

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• YourguidetoTheCriminalFinancesAct2017

• IntroducingtheLawSocietyPresidentJoeEgan

• PaulPhilipdiscusseskeyaspectsofRiskOutlook

• FivemarketingmistakeswithFacebookandhowtoavoidthem

• GoodbyeEmploymentTribunalfees

• SPGAnnualConference20th–22ndApril2018

Andmuchmore....

2 Solo - Autumn 2017 www.spg.uk.com

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WelcometoourautumneditionofSOLO.Asalways,Ihopeyouhavean

interestingandinformativeread.

AnimportantfeatureofmytermasChairhasbeenseekingtore-engagewithourmemberswiththepurposeofbuildingonourvaluesandaims.Wewereformedasanorganisationtoprincipallysupportsolicitorsinsolepractice,toinspireandtopromote.Change,Ibelieve,isinevitableandessentialforgrowth.Itisourintentiontocontinuetosupportyouaswemeetthechallengesahead.

OurrelationshipwiththeLawSocietycontinuestogrowfromstrengthtostrength.AtthestartofMarch2017,IhadaproductivemeetingattheLawSocietywiththethenincumbentLawSocietyPresidentMrRobertBournsandBarbaraBecclesfromthesmallfirm’sdivision.

On24thMarch,SPGwasinvitedtotheannualdinnerofTheCommerceandIndustrySolicitorswhichwasheldattheSavoyHotelwhereImetwiththeCEOMrBillGraydonandothersolicitorsfromtheorganisation.WealsocontinueourpositiverelationshipwiththeSRAandIalsometwiththeExecutiveDirectorforExternalAffairs,JaneMalcolm.

Inspring,wesubmittedaresponsetotheconsultationonthemodernizationoftheITprogramfortheSRA.Wewerealsoparticipatedasexhibitorsattheannuallegalexhibition(LegalEx)inLondonattheendofMarch.

TheSPGwasalsoinvitedtoaParliamentaryReceptionheldbytheSRAintheHouseofCommonsWestminstertogetherwithotherBAMEchairsduringwhichtheSRAinvitedustoprovidethemwithinput

andfeedbackfromourgroupsontheirworkintheprofession.

IhopeyouwillfindthatinthisissueofSOLO,wecontinuetofindpracticalandinformativewaysofhelpingyou,ourmemberstoexcelatwhatyoudo.

OurAnnualGeneralMeetingwasheldon29June2017.ThiswascombinedwithanetworkinglunchreceptionforourmembersattheLawSocietyreadingrooms.ThemembersjoinedinthankingRupertScraseforhistimeandserviceontheSPGexecutivecommitteeinvariouscapacitiesincludingasvice-Chairman,ChairmanandastheTreasurer.

ItwasapleasuretohaveanappearanceatthemeetingbythethenincumbentLawSocietyPresident, Mr.RobertBourns,whosaidafewkindwordstoourmembers.Amongstotherthings,themembersinattendancewereimploredtoconnectwiththeSPGandbringfreshideasofhow

FROM THE ChAirwomAn

www.spg.uk.com Solo - Autumn 2017 3

“We aim to remain relevant to all our members...”


SPGcanbestcontinuetoserveandworkforsolepractitioners.IwanttousethisopportunitytoaskyouasSolePractitionerstotakethisrequestonboard!Weaimtoremainrelevanttoallourmembersandtofacilitatethis,wehaveelectedanewRegionalGroupCoordinator–PennyRabywhohasalreadymadecontactwithsomeregionalgroups.Pleaseengagewithher.

Thank you to outgoing committee members

Wewanttothankouroutgoingcommitteemembers,IanLithmanafoundingmemberoftheSPGretiresthisyear.HehasservedconscientiouslyandtirelesslyasanExecutiveCommitteememberandLawSocietyCouncilMemberforseveralyearsrepresentingsolepractitioners.Also,wethankSueCarterwhoservedtheSPGasanExecutiveCommitteememberforseveralyearsandasaLawSocietyCouncilMemberfor8yearsretiringfromthelatterrolein2014.WealsoextendourthankstoShakInayatwhoservedaschairofLondonregionalgroupandTinaAttenboroughfortheirserviceandtimeontheSPGexecutivecommittee.

IwanttotakethisopportunitytowelcomeournewTreasurerKemMasinbo-Amobiwhohasfittedinseamlesslyintotherole.Wewishyoumanyyearsofsuccessintherole.

Welcome to our SPG Co-ordinator

WealsoformallywelcometheSPG co-ordinator-CharleyMasaratiofByword.ShehasbeenworkingveryhardbehindthescenesandisatremendousassettoSPG.

PleasealsojoinmeincongratulatingourHonorableSecretaryCliveSutton,whohastakenupthepositionasthesecondLawSocietyCouncilMembertojoinLubnaShujawhoisonhersecondterminthepost.

AtthispointIwanttothankMillerfortheirongoingsupportoftheSPG.Afterinterviewinganumberofinsurancebrokers,SPGmaintainsacloserelationshipwithagroupofindividualinsurancebrokerspreviouslyworkingthroughPrimeProfessionsbutnowincorporatedintoMillerInsuranceServicesLLP.

Asyouknowtheirsupportenablesustocarryouttheimportantworkwedoonbehalfofsolepractitioners.TheteamatMillerhasworkedcloselywithTheSolePractitioner’sGroupsince2000.Fromsolepractitionerstart-ups,MillercanprovideahelpfulguidetohelpyoubetterunderstandthePIprocess.TheyalsocanassistyouwithyourPIrenewals.OurconfidenceinMillerissuchthatwehaveonoccasionrequestedadviceformembers’professionalindemnityinsurancedifficultiesandtheyhavealwaysbeenwillingtoprovideanyassistancerequired,forwhichwearethankful.

Finally,pleasekindlynotethatwenolongerusetheofficefacilitiesatRegusincentralLondonbutallpostalcontactwithSPGcanbesenttoourregisteredofficeaddressordirectlytomeaschair.

BestWishes

Kemi [email protected]


SOLICITOR SOLE PRACTITIONERS’ GROUPMeet Your Executive Committee 2017/2018

ChAirWoMAn Oluwakemi MosakuEmeraldSolicitorsTheOldCourthouse1ThePaddockChathamKentME44RETel:[email protected]

KemiwascalledtotheNigerianBarasabarristerandsolicitoroftheSupremeCourtoftheFederalRepublicofNigeriain1989andadmittedasasolicitoroftheSupremeCourtofEnglandandWalesin2004.ShehasavariedworkexperiencewhichincludesworkingintheimmigrationdepartmentoftheHomeOffice,privatepracticebothinlegalaidandprivatelyfundedmattersintheUK.Herlastrolewasheadofimmigrationdepartmentinafirmbeforesettingupasasolepractitioner.ShespecialisesinImmigrationandHumanRightsLaw.Shealsoundertakesfamilylawworkandlandlordandtenants.OutsideofworkKemiisatrusteeinathrivingcharityandenjoysspendingtimewithherthreesons.Shealsoenjoyskeepingfit,music,networking,readingbiographiesandcurrentaffairs.

ViCE-ChAir Tahira ShaffiMikhaelLaw197RochdaleRoadBuryLancsBL97BBTel:[email protected]

Tahirahasbeenapracticingsolicitorfor20years.Shesetupasasolepractitionerafterbeingmaderedundantin2010.ShehasfoundtheSPGtobeanextremelyhelpfulpointofcontactonsomanyissueswhichareaffectingthewholeprofessionwhilstpayingparticularattentiontotheneedsofSolePractitioners.Tahiraunderstandsthatbeingasolepractitionercanbealonelyexperiencebutnetworkingwithlike-mindedindividualsmakesallthedifference.SheisgladthatthereisanindependentbodyoutsideoftheLawSocietythatisworkinghardtolookafteritsmembersinterests.TahiraisbasedinBury,GreaterManchesterwheresheliveswithherfamily.Shehaslotsofinterestsoutsideofthelawincludingpolitics.TahirawaspreviouslyanLEAschoolgovernorandhasstoodasacandidateinthelocalelectionsandispassionateaboutcivicdutyandputtingsomethingbackintothecommunity.ItisalottojugglewithbutTahiraisproudoftheworkoftheSPGbecauseshebelievesinbetterrepresentationforSolePractitioners!

honorArY TrEASurEr Kem Masinbo-AmobiKMASolicitorsSaracensHouse25StMargaret’sGreenIpswichSuffolkIP42BNTel:[email protected]

KemqualifiedasasolicitorinNovember2002underthetutelageofMrMartinMears(formerPresidentoftheLawSociety).Kemhasovertwelveyearscommercialexperiencegainedinavarietyofdemandingandchallengingenvironments.Kem’semploymenthistoryincludestimespentatsomeofthemostprestigiouslegalfirmsinSuffolkandNorfolk.Akeengardener,KemhascompletedtheRHSLevel2CertificateinHorticultureandherotherhobbiesincludereading,travellingandcookingintrue“Nigella”fashion.

honorArY SECrETArY Clive SuttonCliveSuttonSolicitor3TheOldPrintWorks85bHighStreet,LymingtonHantsSO419ATel:[email protected]

ClivehasbeenasolepractitionerinLymingtoninHampshiresinceleavingapartnershipin1998.Hespecialisesinlitigationcoveringmostaspectsofprivateandcommercialwork.HisotherinterestsareasChairmanofhislocalAmenitySocietyinLymingtonandTrusteeoftheNewForestCentreMuseuminLyndhurst.HehaspreviouslyservedasChairmanofthelocalCitizensAdviceBureauandChurchwardenandintheearly70sasaResidentMagistrateintheSeychelles.ClivehasbeenactivelyengagedonbehalfofSPGoverthepast17years.HeisnowoneoftheGroupstwoCouncilMembers.

Sushila AbrahamSAbrahamSolicitors290aEwellRoadSurbiton,SurreyKT67AQTel:[email protected]

SushilahaslivedinSurbiton,Surreyforovertwentyyears.Shedecidedtostartherownpracticelocallybecauseshewantedtoofferqualityandcaretothelocalcommunity.Shealsowantedtobefreefrompressuretooverchargeclientsinordertomeettheprofitandbillingtargetssetupbysomeofthebiggerlawfirms.SheismarriedtoMatthewabarrister,andtheyhaveonesonwhohasalsoqualifiedasabarrister.Inadditiontobeingwifeandmother,runningherpracticeinSurrey,andherroleontheSPGExecutiveCommittee,Sushilaisalso‘CllrSushilaAbraham’,havingbeenelectedasLib-DemlocalcouncillorintheBoroughofKingstoninaby-electioninFebruary2013andthenre-electedinMay2014.SushilawasalsoPresidentofSurreyLawSocietyandwaselectedasLawSocietyCouncilMemberforSurrey.SheisalsoaBoardmemberoftheMembershipBoardattheLawSocietyandaTrusteeofICLRrepresentingtheLawSociety.Sushilaisaverycommunitymindedpersonandhadruncookeryclassesforlocalschoolchildren,whichshecalled“Suzie’sKitchen”,believingintheimportanceofteachinglifeskills.


Joanna ConnollyJoannaConnollySolicitors33CheadleAvenueLiverpoolL133AETel:[email protected]

JoannaConnollyspecialisesintheareasofConsumerCredit,ContentiousProbate,andInsolvency.JoannaisasolicitorwithHigherRightsofAudiencewhoisqualifiedtorepresentclientsasanAdvocateinthehighercourtsinEnglandandWales.ShewaspreviouslyHeadofConsumerCreditLitigationatMSBSolicitorsandhashadextensivelitigationexperiencebothatCountyCourtandHighCourtlevel.JoannahadconductoftheleadConsumerCreditActHighCourtcaseCareyvHSBCBankPlc[2009]EWHC3417(QB)aswellascasesintheCourtofAppeal.

Moses AjayiSlade&FletcherSolicitors1stand2ndFloors348aCamberwellNewRoadLondonSE50RWTel:[email protected]

MoseswasadmittedasaBarristerandSolicitoroftheSupremeCourtofNigeriain1987.HehasalsobeenadmittedasaSolicitoroftheSupremeCourtofEnglandandWales.MosesisaSolepractitionerandspecialisesinHumanRightsandImmigration.Heisalsoengagedingeneralcivilandcriminalmattersonaprivatefeebasis.Inhissparetimeheenjoyssailingandhasparticipatedinmanysailingeventsaroundtheworld.Healsoenjoysdiscoveringnewplacesandspendingtimewithhisfamily.

hEAd of MArkETinG Sub-CoMMiTTEE & PAST ChAirMAn Sukhjit AhluwaliaAveryEmersonGloucesterHouse335GreenLaneIlford,Essex,IG39THTel:[email protected]

Havingworkedinsomeofthemostprestigiousbankingandconsultancyorganisations,Sukhjitoptedtoprovideamorepersonalonetooneserviceandbelievedthatthiscouldbebestdonethroughhisownpractice.HehasbeenbasedinGoodmayesinIlfordsince2003.Inhisprivatelife,Sukhjitlikestogetinvolvedinanumberofcharitableactivities,workingwithorganisationtoassistpeoplefromallbackgroundsandagesinreachingmoralexcellenceeitherintheirprivatelifeorintheirprofessionalcapacity.Whilstheisquiteashyperson,Sukhjithasbeenpartoftwodocumentariesexploringthechangesthathavetakenplaceinthetraditionalarrangedmarriageprocess.Hischildrenarestillyoungandtakeupagreatdealofhistimebutwhenhedoeshavetimeforhimself,Sukhjitlikestosit,readagoodbookandwatchtheworldgoby.

Veena BansalAshbournesSolicitors225KentonLaneHarrowMiddlesexHA38RPTel:[email protected]

Rahil ChaudhariArlingsworthSolicitorsLtd145IslingwordRoadBrightonEastSussexBN29SHTel:[email protected]

SrA LiAiSon LEAdHamish McNairMcNair&CoEBCHouse,RanelaghGardensLondonSW63PATel:[email protected]

HamishisbasedinFulham,London.Havinginitiallyspecialisedincopyrightandtrademarkwork,bothintheCityandNewYorkCity,hispracticenowincludesconveyancing,willstrustsandprobate,aswellaslitigation.Marriedwiththreechildren,whenHamishisnotintheofficeorinvolvedinSPGmattersheenjoysopen-airswimming,sailing,overnightbikerides,andalsohasapassionforthetheatre.


SoLo EdiToriAL TEAMJosephine DuchenneDuchennesSolicitorsHassettHouseHassettStreetBedfordMK401HATel:[email protected]

JosephinebecameaSPin1997andworksinBedford,specialisinginfamilywork.ShehashadavariedcareerworkinginLondonandtheHomeCountiesdoingcommercialwork,thenmovingtocivillitigation.Marriedwiththreechildren,sparetimeisoccasionallyspentlearningartssubjects.SheisabigfanoftheOpenUniversity.Otherhobbiesincludemusicandwalking.

Dorcas FalodeDFSolicitors791SidcupRoadLondonSE93SBTel:[email protected]

DorcasisaSolepractitioner,athomeandabroad.Sherecentlycelebrated10yearsofbeingaSPwithofficesinLondonandLagos.ShefliesinandoutoftheUKonaregularbasisdealingwithavarietyofcases.ShespecialisesinImmigrationLawdealingwithentryclearancecases,familyreunion,visitors’andstudents’visaapplications.Thepracticealsodealswithfamilyandeducationcases,givingavoicetotheweakanddefenceless.Dorcasismarriedwithfourchildren.Whensheisnotbusyattendingtoclients,sheworksasacounsellor,nurse,cook,taxidriver,tutorofherfouryoungadults.Shelovestotravelandfindsshoppingverytherapeutic.

SPG WEbMASTEr David HindeHindeLawLtd71–75SheltonStreetLondonWC2H9JQTel:[email protected]

Davidisadisputeresolutionspecialistwithover20years’experiencedealingwithcivilandemploymentlawmatters.AfterreadinglawattheUniversityofLondonhetrainedandqualifiedintheCityofLondonworkingatleadinglawfirmsbeforestartinghisownnichepracticeasasolepractitionerbasedinCoventGarden.ActingforindividualsandSMEcompanieshehasdealtwithawide-rangeofcasesrangingfromjudicialreviewintheEuropeanCourtofJusticetocontractandpropertydisputesintheHighCourtandCountyCourt.HeisamemberoftheEmploymentLawyersAssociationandspeaksFrench.Marriedwithasonwhokeepshimverybusywhennotintheoffice,heisalsoaschoolGovernorofhislocalPrimarySchoolandenjoysreading,cyclingandthecinema.

hEAd of ConfErEnCE Sub-CoMMiTTEE & rEGionAL GrouPS Co-ordinATorPenny RabyPennyRaby&CoHarmonyHouse7-9ChurchStreetPershoreWorcestershireWR101DTTel:[email protected]

PennyhasbeenaSPspecialisinginfamilylawfor20years,workingwithherhusbandMikeaForensicAccountantondivorcecasesinvolvingbusinessandcomplexassetandincometracing.ShewonWorcestershireFamilyLawyeroftheYearawardin2014andwasnominatedfortheNationalFamilyLawMagazineFamilyLawFirmoftheYearfor2015.Shehasappearedonradioandtelevisionand,withMike,hastouredtheirnetworkingpantomime‘SnowWhiteandtheSevenSmallBusinessPeople‘internationally,includinganotableperformanceatthe2016SPGConferenceinPrague!

CounCiL MEMbErLubna ShujaLegalSwanSolicitors1stFloor,168HamsteadRoadHandsworthBirminghamB202QRTel:[email protected]

Lubnaqualifiedasasolicitorin1992.ShewasapartnerinahighstreetfirminWestYorkshireformanyyearsandthenstartedherownpracticeinBirminghamin2007undertakingmediation,familyandcivillitigation.LubnabecameaCEDRaccreditedMediatorin2005,andisdualqualifiedtoconductbothCivilandFamilymediations.Shehasdoneshuttlemediations(wherepartiesprefernottomeet)andalsotimelimitedmediations (2-4hoursduration).LubnaisalsoinvolvedwithvariousregulatorsandsheChairsanumberofDisciplinary/ProfessionalConductCommittees.SheisaLawSocietyCouncilmemberwheresherepresentstheinterestsofsolepractitioner.


Satnam VirdiSVLaw10BancroftAvenueLondonN20ASTel:[email protected]

Satnamspecialisesineducationanddisabilitylaw,includingexclusions,admissionsandSpecialEducationNeedsTribunaladvocacy.Heactsforparents,schoolsandlocalauthorities.Hisfirstjobwasasanelected,fulltimeVice-PresidentofCambridgeUniversityStudents’Union.Afterqualifyinginalargecommercialfirm,heworkedinaLondonlocalauthorityasHeadofLitigation.HeisalsoafeepaidFinancialOmbudsman.HehasbeenaSPforovertenyears,andisbasedinEastFinchley,London.

ConSuLTATionS orGAniSEr Martin T SmithOldCoachHouseOldRoad,LinsladeLeightonBuzzard BedsLU72RBTel:[email protected]

Martinwasadmittedasasolicitorin1975after5yearsarticlesandacquiredhissolegeneralpracticeinLeightonBuzzardin1985wherehehaspractisedeversince.MartinhasbeenamemberoftheSPGNationalExecutiveCommitteesinceitsinception(hebelievesthatonlyIanLithmanisstillan“original”).MartinliveswithhispartnerinLeightonBuzzardandwhenheisnotworking,heenjoysspendingtimewithher.Theyshareanumberofhobbiestogether,includingstampcollecting.

inTErnATionAL ArM Nicholas WoolfNicholasWoolf&CoSolicitors87ChanceryLaneLondonWC2A1ETTel:[email protected]

Nickwasadmittedasasolicitorin1979andwasajuniorpartnerintwofirmsinLondonbeforestartinghisownpracticeintheWestEndin1987.In2011hemovedontocreateanicheinternationalcommercialandfamilypracticeinChanceryLane.HeisaMemberoftheSolicitorsFamilyLawAssociationandhastrainedotherprofessionalsonfamilylawmattersandanti-moneylaundering.Nickismarriedwithfourchildrenandhehasarangeofhobbieswhichincludetravel,music,tennis,readingandphotography.

SPG Co-ordinATorCharley MasaratiBywordPOBox353UxbridgeUB100UNTel:[email protected]

CharleyistheownerofByword,aneventorganisingandadministrationcompany.Specialisinginlegaladministration,BywordhasclientsincludingtheEmploymentLawyersAssociation,AssuretyandEmploymentLawBarAssociation.BywordarealsoadministratorsoftheInstituteofDirectorsCentralLondonBranch.BywordaredelightedtoberetainedbytheSolePractitioners’GrouptomanagetheadministrationofthegroupalongsidetheExecutiveCommittee,theteamlooksforwardtomeetingmembersandcontributingtothegroup’ssuccess.

would you like to inspire your fellow Sole Practitioners?

SOLOisabi-annualpublicationwhichaimstoinformand supportsolepractitionersandisdeliveredin bothhardcopyanddigitalformats.

The SoLo editorial team welcomes contributions from our members. do you:

Haveacommenttomakeregardingrecentlegislation?WanttoupdateyourfellowSolePractitionerswiththelatestdevelopmentsinyourspecialistarea?Wanttoshareyouropinionswithfellowmembers?Wanttoshareaculturalexperience?

Thenwewanttohearfromyou!SOLOisyourpublication,producedbySolePractitionersforSolePractitioners.

IfyouwouldliketowriteanarticleforSOLO,orhaveanysuggestionsofcontent, thenpleasegetincontactby emailing [email protected] with details.

if you would like to advertise in our publication, or at the Conference, please contact

[email protected] for further details.


THE CRIMINAL FINANCES ACT 2017 10YOU (AND YOUR BUSINESS) – WHAT YOU SHOULD OR SHOULD NOT BE DOINGNicholas Woolf and Sam Cheesbrough, Nicholas Woolf & Co

RISK OUTLOOK – AN OvERvIEW OF THE PRIORITY RISKS FACING SOLICITORS 12Paul Philip, SRA Chief Executive

SPG IN ACTION 15Martin Smith, Martin T. Smith Solicitors & SPG’s Consultations Organiser

12,000 WALKED FOR JUSTICE IN LONDON 16The London Legal Support Trust

HOW TO GET THE BEST DEAL ON SOLICITORS’ PROFESSIONAL INDEMNITY INSURANCE 17Richard Brown, Head of Solicitors’ Practice at Miller Insurance

REGIONAL UPDATE 18Penny Raby, Penny Raby & Co & SPG’s Regional Co-ordinator

FIvE MARKETING MISTAKES THAT SOLICITORS OFTEN MAKE WITH FACEBOOK 19Rachel Tombs, Links2Leads

A NOTE FROM THE HONORARY SECRETARY 20Clive Sutton, Clive Sutton Solicitors & SPG’s Honorary Secretary

GOODBYE EMPLOYMENT TRIBUNAL FEES 21Kirsty Swan, Swan Craig Solicitors

AN INTRODUCTION TO THE NEW PRESIDENT 22Joe Egan, President of the Law Society of England and Wales

WHY GETTING A GOOD PROFESSIONAL INDEMNITY INSURANCE BROKER COULD SAvE YOUR LAW FIRM MONEY 23Scott Thorne, Client Advisor at Miller Insurance

UPDATE FROM LAW SOCIETY 25Lubna Shuja, Legal Swan Solicitors & SPG’s Law Society Council Member

ANTI-MONEY LAUNDERING REGULATIONS – FOUR PRINCIPLES TO GUIDE SOLE PRACTITIONERS THROUGH THE MINEFIELD 27Nicholas Woolf and Sam Cheesbrough, Nicholas Woolf & Co

Contents

SOLO JOURNALContributionstoSOLOarewelcome.EditorialorAdvertising–contact details are available on SPG’s website www.spg.uk.com.Editorial board –SukhjitAhluwalia,JoannaConnolly,JosephineDuchenne,DorcasFalode,OluwakemiMosaku&TahiraShaffi.ViewsexpressedinSOLOmaynotbetheviewsofSPG.SOLOiscopyrightedtoSPG.

diSCLAiMErThearticlesfeaturedinSOLOarenotasubstituteforlegaladvice.Informationmaybeincorrectoroutofdate,andmaynotconstituteadefinitiveorcompletestatementofthelaworthelegalmarketinanyarea.Articlesarenotintendedtoconstituteadviceinanyspecificsituation.Youshouldtakelegaladviceinspecificsituations.Allimpliedwarrantiesandconditionsareexcluded,tothemaximumextentpermittedbylaw.


YoU (AnD YoUr BUSinESS) – whAT YoU ShoULD or ShoULD noT BE DoinG BY NICHOLAS WOOLF, DIRECTOR AND PRINCIPAL, NICHOLAS WOOLF & CO,

AND SAM CHEESBROUGH, ASSOCIATE, NICHOLAS WOOLF & CO employees(orotherpeople“associated with”thecompany)whoaredeemedbytheActtohavefacilitatedthetaxevasion–yourcompanywillstillhavecommittedanoffenceundertheAct.

What is a tax evasion facilitation offence?

ThisdependsonwhetherthetaxevasiontakesplaceintheUKorabroad.

UK

1. beingknowinglyconcernedin,ortakingstepswithaviewto,thefraudulentevasionofataxbyanotherperson;

2. aiding,abetting,counsellingorprocuringthecommissionofaUKtaxevasionoffence(definedas(a)anoffenceofcheatingthepublicrevenue,or(b)anoffenceunderthelawofanypartoftheUKconsistingofbeingknowinglyconcernedin,ortakingstepswithaviewto,thefraudulentevasionoftax;

3. beinginvolvedinthecommissionofanoffenceconsistingofbeingknowinglyconcernedin,orintakingstepswithaviewto,thefraudulentevasionoftax.

On27thApril2017,theCriminalFinancesAct2017(“theAct”)wasgivenRoyalAssent.Part

3oftheAct,whenitcomesintoforceon30thSeptember2017,willcreatetwonewoffencesundertheheading“corporate offences of failure to prevent facilitation of tax evasion”,whichwillapplyinrespectofcorporatebodiesandpartnerships(whereverincorporatedorformed)andwillcovercircumstancesfacilitatingtaxevasionintheUKandoverseas.

how is the offence committed?

Ifaperson,actingin“the capacity of a person associated with”thecompany(whichincludesemployees,agents,orotherpeopleperformingservicesfororonbehalfofthecompany,andisactinginthatcapacity)commitsa“tax evasion facilitation offence”,thenthecompanymaybeliableforanunlimitedfine.

Thisisastrictliabilityoffence.Thismeansthatitisnotpossibletoblameyourclients(ortheprovisionofinformationfromyourclients),eventhoughtheyaretheonescommittingtheprimarytaxevasionoffence.Norisitpossibletodistanceyourselffromyour

Abroad

1. conductwhichamountstoanoffenceunderthelawofaforeigncountry;

2. conductwhichrelatestothecommissionbyanotherpersonofaforeigntaxevasionoffenceunderthatlaw(definedasconductwhich(a)amountstoanoffenceunderthelawofaforeigncountry,(b)relatestoabreachofadutyrelatingtoataximposedunderthelawofthatcountry,and(c)wouldberegardedbythecourtsofanypartoftheUnitedKingdomasamountingtobeingknowinglyconcernedin,orintakingstepswithaviewto,thefraudulentevasionofthattax;and

3. conductwhichwould,iftheforeigntaxevasionoffencewereaUKtaxevasionoffence,amounttoaUKtaxevasionfacilitationoffence.

Remember,whilstthetaxevasionmayhavebeencommittedbyyourclients,andthattaxevasionmayhavebeenfacilitatedbyyouremployees(orotherpeople“associated with”thecompany),itisneverthelessyourcompanythatwillbeliabletofootthebill.


toexpectthecompanytohaveinplace,or(b)thatitwasnotreasonableinallthecircumstancestoexpectthecompanytohaveanypreventionproceduresinplace.

Thegovernmentisrequiredtopublishguidanceastothetypeofpreventionproceduresthatoughttobeputinplace.Formalguidancehasnotyetbeenpublished.However,provisionalguidancepublishedinOctober2016statesthatsuchprocedureswilllikelybebasedonsixprinciples:

1. Riskassessment–exampleproceduresincludeoversightofriskassessmentbyseniormanagement,appropriateallocationofresourcestothedetectionandmonitoringofrisk,periodicreviewofrisks,andprocedurestoidentifyemergingrisks.

2. Proportionalityofrisk-basedpreventionprocedures–exampleproceduresincludereviewingandrefiningproceduresforeffectiveness,anoverviewofthestrategyandatimeframetoimplementpreventionpolicies,acommitmenttocomplianceoverprofitorbonuses,andmonitoringandenforcingcompliancewithprocedures.

3. Toplevelcommitment–exampleproceduresincludecommunicationandendorsementoftherelevantbody’sstanceonpreventingthecriminalfacilitationoftaxevasion,andinvolvementinthedevelopmentandreviewofpreventativeprocedures.

4. Duediligence–theprovisionalguidancestatesthatduediligenceproceduresshouldbeproportionatetotheidentifiedrisk,takingintoaccountthelevelofcontrolandsupervisionthatthecompanyisabletoexerciseoveraparticularpersonactingonitsbehalf,andthecompany’sproximitytothatperson.

5. Communication(includingtraining)–theprovisionalguidancestatesthatthenatureofinternalandexternal

Further,ithaslongbeentheruleinEnglandandWalesthatlegaladviceprivilegewillnotattachtoconfidentialcommunicationsthataremadeforthepurposeofcommittingacrimeorfraud(R v Cox and Railton [1884] 14 QBD 153).ThereisnoreasontosuspectthatthepositionwillbeanydifferentinrelationtothenewoffencessetoutintheAct.

What about if the offence isn’t committed by my branch of the company?

Englishlawdoesnotdistinguishbetweendifferentbranchesofacompany,andsoonebranchmaybeliablefortheactionsofanother,eventhoughthetwohavenoinvolvementwithoneanother.Bycontrast,subsidiarieswillusuallybeconsideredasseparateentities.

However,evencompanieswithsubsidiariesoughttobewary.Englishlawhastraditionallybeenveryreluctanttoliftthecorporateveil,andlookatwhoistheultimatebeneficialownerofacompany.However,recentregulationsinrelationtoothertopicalmatters(suchasanti-moneylaunderingandterroristfinancing)haveincreasinglyrequiredanexaminationofthecompanystructuretodeterminetheultimatebeneficialownersofanentity.Itispossiblethatthisapproachmayfilterthroughintogenerallawandimpactonthewaysubsidiariesareviewed.Whilstthishasnotyethappened,itisneverthelesspossiblethat,inthefuture,youmayfindyourcorporatestructurescrutinisedinordertodeterminewhoisrequiredtopayanyfines.

What should i do about it?

Inshort,itisnolongerpossibletoturnablindeyetothetaxarrangementsofyourclients,ortheactionsofemployees(orotherpeople“associated with” thecompany)whendealingwithsuchclients.

Inordertoavoidliabilityacompanymustbeabletoshoweither(a)thatithasinplacesuchpreventionproceduresasitwasreasonableinallthecircumstances

communicationmayvarydependingonthenatureoftheriskbeingaddressed,andthesize,business,andoperationofthecompany.Itsuggeststhat,forexample,internalcommunicationshouldmakeclearthecompany’szerotolerancepolicyforthefacilitationoftaxevasion.

6. Monitoringandreview–exampleproceduresincludeseekingfeedbackfromstaffmembersandlookingtootherfinancialcrimepreventionmeasures,formalisedperiodicreviewwithdocumentedfindings,andworkingwithotherorganisations,suchasrepresentativebodiesorotherorganisationsfacingsimilarrisks.

Itshouldbestressedthatthepreventionpolicythatsufficesforonecompanymaynotbeappropriateoradequateforanother.Itisthereforeimportantthatcompaniesobtainadviceandassistanceonthedraftingofsuchpolicies,soastoensure(sofaraspossible)thattheyareabletorelyuponthedefencesetoutintheAct.

IfyouwouldlikeNicholasWoolf&Cotoadviseorassistyouinthatregard,pleasedonothesitatetocallusat+44(0)[email protected].

©NicholasWoolf,DirectorandPrincipal,Nicholas

Woolf&Co,andSamCheesbrough,Associate,

NicholasWoolf&Co.

9thAugust2017

diSCLAiMEr

Thisnotecomprisestheviewoftheauthor

asat9thAugust2017.Thisnoteisnot

asubstituteforlegaladvice.Information

maybeincorrectoroutofdate,andmay

notconstituteadefinitiveorcomplete

statementofthelaworthelegalmarket

inanyarea.Thisnoteisnotintendedto

constituteadviceinanyspecificsituation.

Youshouldtakelegaladviceinspecific

situations.Allimpliedwarrantiesand

conditionsareexcluded,tothemaximum

extentpermittedbylaw.


riSk oUTLook – An ovErviEw of ThE PrioriTY riSkS

fACinG SoLiCiTorS PAUL PHILIP, SRA CHIEF ExECUTIvE

criminalsandchancers.Thisisperhapsunsurprisingascybercrimeisoneofthebiggestworriesforusall,inbothourprofessionalandprivatelives.TheOutlooksetsoutthattherehavebeenarecordnumberofreportsmadetousofcybertheftsfromlawfirmsinthefirstquarterofthisyear,withhousemovesthemaintarget.

Thisamountedtomorethandoubletheamountofreportsofcybertheftcomparedtolastyear,withtripletheamount(£3.2m)stolen.Overall,intheyearApril2016toMarch2017,wehaveseencasesinvolvingaround£11moflosses.

Aroundthreequartersofthetheftsinvolvesomeformofemailhackingfraud,wherecriminalsmodifyemailsandalterbankdetailssofundsgotothecriminal.Aroundhalfofcasesinvolvemoneybeingusedforhousemoves.TheNationalFraudIntelligenceBureauhasalsoreportedincreasedrisksinthisarea,withan85percentincreaseintheftofpropertydepositsin2016.Othertargetsforcybercriminalsincludeinheritancemoneyandalawfirm’sownmoney.

ThethreatsofcriminalsusingITtostealclient’sfundsisanever-increasingproblem.Itisimportantthat–ifyouhavenotdonesoalready–youdevelopaculturewherecybersecurityistreatedasaseriouspriority,andtakesensible

Itisafactoflifethatthereisriskineverythingwedo.Howeverhardweplanforalleventualities,thereis

alwaysthechancethatsomethingcouldgowrong.

Weknowthatthevastmajorityoflawfirmsandsolicitorsarecommittedtodoingtheverybestfortheirclients.Youprovideagoodserviceandmanagebothresponsibilitiesandriskscarefully.

Butofcoursethelegalsectorissubjecttoallsortsofpressuresanditcanbedifficulttokeepuptodate.ThisiswhyweproducetheRiskOutlook.TheOutlookisakeytoolfirmscanusetoidentifyriskstotheirbusinessandmitigateagainsttheeffects.Itwasfirstpublishedin2013anditsformatofdescribingrisksandprovidingsupportingpapersonmoredetailedissueshasmadeitavitalresourcefortheprofession.

ThefifthRiskOutlookwaspublishedinthesummer,andoneofourkeythemesiskeepingclientmoneysafefrom

stepstowarntheirclientsabouttherisks.

new priority risk for 2017

Wehaveincludedonenewpriorityriskthisyear–questionableinvestmentschemes.Whilethevastmajorityofsolicitorsandfirmsactproperly,atinyminorityarefailingtoadequatelyprotectthemoneyofinvestors,mostofwhicharemembersofthepublic.

Inthelastninemonthswehavetakenactionincaseswherethepublichavelostmorethan£50mbyinvestinginquestionableschemesthathaveincludedtheinvolvementofasolicitor.Wehavepublishedarangeofwarningstomakesureeveryoneisawareofthisrisk.Pleasemakesureyoureadthemsoyoucanspotthesignsthataschemeisdoubtful.

OtherpriorityrisksintheOutlookincludeafocusonnotallowingindependenceorintegritytobecompromisedinlightofreportsthatsolicitorshavebeeninvolvedinsuspectcompensationclaimsforthelikesofpaymentprotectioninsuranceandholidaysickness.The“diversitydividend”forlawfirmsofbeinganinclusiveemployerisalsohighlighted.

WeknowthatmanyofyoufindtheRiskOutlookausefulresource.ThereisalinktoOutlookonourdedicatedsmallfirms

Paul Philip is CEO of the Solicitors Regulation Authority, a post he has held since February 2014. He was previously Deputy Chief Executive and Chief Operating Officer of the General Medical Council (GMC) and has held senior roles in both the Legal Services Commission and the NHS.

“...keeping client money safe from criminals...”


SonowI’dliketoaskmoreofyoutojoinourdedicatedITvirtualreferencegroup,Evolve.Theseareearlydaysintheprogramme,butdecisionsmadeintheformativestagesofanyprojectcanoftenbethemostimportanttaken.

Thisiswhyweneedyouattheheartofthiswork–tomakesurewhatwebuildhasyouinmind.Iwouldthereforeaskyoutotaketheopportunitytogetinvolved.LookattheEvolveoptions,chooseonethatworksforyou,sign-upandstartshapingthewaytheSRAdoesbusiness.

Youcandothisbygoing towww.sra.org.uk/getinvolved

Soit’satimeofchangeinthesectorandforus.Weallneedtoworktogethertokeepuptodateandfutureproofourbusinessesandthesector.Pleasedon’thesitatetoletmeknowwhatyouthinkandwhatmoreweneedtodo.

Articlesubmittedon17thAugust2017

section,anditisoneofthetopfivemostvisitedpages.

Asriskschange,developandemerge,wehopeyoucontinuetousetheOutlooktoprotectyourselvesandyourclients.

investment in iT and Evolve

SomethingelsethatischangingistheITweuseattheSRA.InvestmentinourITnowwillmakeiteasiertoworkwithusinfuture,aswellassavingcostsinthelongterm.Ourpriorityistoensurethatournewsystemsmeettheneedsofourcustomers–yourselves.

Sincepresentingour‘ModernisingourIT‘approachtotheSPGExecutiveCommitteeinApril,wehavebeenencouragingtheprofessiontogetinvolved.I’malreadyawarethatsolepractitionersarecontributingtobothamonthlypollandvolunteeringandtakingpartinusertesting.

Everything you need to run a small law firm.

Legal Practice Management Software

0843 713 0135 | [email protected] | www.leap.co.uk

As always there is a great deal of pressure being placed on sole practitioners, not only does the responsibility for running the practice fall on your shoulders, with the internet offering access to a such a choice of services it is essential to remain competitive and market yourself on a much wider scale. Often without the infrastructure of support staff business owners can find themselves spending hours each week on non-billable, administrative tasks.

LEAP case management software has been designed to allow sole practitioners to grow their profits, without the need to hire additional staff. LEAP is a business improvement solution designed to make you more money, providing everything you need to run a successful practice including a website.

Switching to a cloud based software provider will allow you to work more efficiently, you can continue to work wherever you are and whenever you want via the LEAP Mobile App. Your IT requirements will be simplified, reducing costs and need for support significantly. In addition, with Investment of over £5 million per year into R&D LEAP ensures law firms have access to the best software on the market.LEAP’s cloud based legal software solution provides everything your law firm needs to process probate matters efficiently and maximise profit margins.

LEAP were pleased to sponsor the Sole Practitioners Group Annual Conference in Prague last November and welcomed the opportunity to meet SPG members both old and new. For more information visit www.leap.co.uk or contact us on 0843 713 0135.

As a sole practitioner how can you increase your profit?

SPG A5 Advert UK - Jan 2017.indd 1 12/01/2017 09:53


IBP Ltd is one of three centres in England and Wales which have been awarded a Lexcel assessment licence by the Law Society. We have been a licensed Lexcel assessment centre for 15 years and have extensive experience in working with the legal sector.

Based in London, IBP work with a team of highly qualified, supportive Assessors from all areas of the country helping you to achieve accreditation. Our clients include sole practitioners, legal firms of all sizes and in-house legal departments from both the private and public sector working with them towards Lexcel accreditation. In doing so, we ensure that the process is cost effective, independent, objective and rigorously quality controlled.

What’s stopping you from becoming Lexcel accredited?“It costs too much!” When speaking to people at the last SPG conference, many were surprised at how little it costs for a sole practitioner or small law firm to achieve Lexcel accreditation. Just ask us for a free Lexcel Assessment quotation or book onto one of our comprehensive workshops for just £50.

“The Standard is too difficult to implement” We work with hundreds of practices year after year and it’s our job as a licensed Lexcel assessment body to know the Standard inside out. Through our extensive knowledge and experience, we will help you to gain the maximum benefit from working with Lexcel. Also, if you hold SQM for Legal Aid contract purposes and are thinking of changing over to Lexcel, you will find there are many overlaps.

“How does Lexcel help me and my practice?”Lexcel covers the main requirements that COLP and COPA have responsibility for – just for starters! There are many other benefits too, such as improving client service and attracting new business.

“Lexcel is like having an audit!”IBP have a friendly team of Lexcel Assessors and administration staff who are there to support you. Plus, there is no such thing as ‘failing Lexcel’!

“I won’t get a reduction in my annual PI Insurance if I have Lexcel”Actually, you should by just having Lexcel. Even if your insurance company doesn’t offer you a reduction for being Lexcel accredited, if you implement Lexcel and continue to meet its requirements, your practice will run more efficiently and client complaints will be minimised, which will result in less costs.

Contact us...Tel: 0800 612 3098Email: [email protected]

Find out more about Lexcel at: www.ibplegal.co.uk


SPG IN ACTion

Martin Smith is leads and co-ordinates the Group’s responses to consultations.

Since the last edition of SoLo the consultations issued by the SrA have somewhat reduced in number and SPG has only felt it necessary to respond to one.

Thiswas“EnablingInnovation–consultationonanewapproachtowaiversanddevelopingtheSRA’sInnovationSystem”–yourExecutiveCommitteesubmittedaresponsetothispreparedbypastChairSueCarter.ThegistofSPG’sresponsewasthatwhilstthereweresuperficialattractionsintheSRA’sideasforinnovationtherewasarealriskofloweringofstandardstothepublicandthatsmallfirmsmightsufferbecauseofunfaircompetition.SueCarterhassinceresignedfromtheCommitteeafteralongperiodofservice.

TheLawCommissionhavealsoannouncedaconsultationonreformingtheLawonmakingofWillsandassociatedmattersapparentlytotakeaccount,inpartatleast,ofthecurrentdigitalera.Thiscloseson10November2017andCliveSuttonhasstartedworkontheGroup’sdraftoftheconsultationresponse.Couldanyoneinterestedincontributing,pleasecontacthimon [email protected].

IfanyreaderwishestoassisttheSPGExecutiveinrespondingtoaconsultation,especiallyoneonwhichthecurrentExecutiveCommitteemembershavenoexpertisee.g.criminallawthiswouldbeverywelcome.AnyenquiriesinthisconnectionpleaseaddresstotheSecretary.

Thisofcourseisinadditiontoanyresponsethesolepractitionermaywishtosubmitpersonally.


12,000 wALkED for justice in London

Willow’slifeandgivesherthesecuritysheneedstobeabletofocusonherwellbeing.

Cutsincivillegalaidandcouncilgrantshavemadeaccesstofreelegaladviceinthecapitalverydifficult.TherearefewerLegalAidfirmsinthehighstreet,someadvicecentreshaveclosedandothershavehadtoseverelyreducecaseworkstaff.

Lawyersfromallcornersofthelegalprofessioncametogethertoraisefundsforthoseinurgentneedoflegalhelp.ThemostseniorjudgesandQCswalkedsidebysidewithlawstudents;corporatelawyers;highstreetsolicitorsandfront-linecaseworkers.Manyin-houselawyersfrommultinationalcompanieswillbewalking.

Sir Terence Etherton, the Master of the rolls said,

“We walked to raise funds for free legal advice charities supported by the London Legal Support Trust.

“The need for these charities has grown over the past few years while resources for their work have diminished.

“That makes the funds raised by the London Legal Walk more important than ever.”

President of the Law Society of England and Wales robert bourns said,

“The London Legal Walk is a great way for us to come together to support charities that provide legal advice day in, day out, helping a hugely

12,000people,themajorityofthemlawyers,walkedtoraisefundsforfreelegaladvice

servicesinLondonandtheSouthEastonMay22nd.700teamswalkedtogetherandraised£800,000topromoteaccesstojustice.ThismoneyenablesLawCentres,localCitizensAdviceandadviceagenciestocontinuetohelpvulnerablepeopleaccesslegaladvice.

Thosethattheadvicecentreshelpincludefamiliesfacinghomelessness,olderpeoplerequiringcommunitycare,traffickedwomenandchildren,peoplewithdisabilities,refugees,peoplewhoarefacingunemploymentandthosewithmentalhealthproblems.

VulnerablepeoplelikeWillowhavesufferedmostduringtherecession:

“Living with severe mental health problems is challenging. i didn’t know what i would do without my disability allowance. The local Law Centre has given me back my safety and security.”

Willowisayoungwomanlivingwithseverementalillness.Shehasspenttimeinhospitalbeingtreatedforacutementalhealthproblems.InspiteofthisherdisabilityallowancewastakenawaywhenshewasmovedtoPIP.Ahugedropinherweeklyincomeleftherinanemotionallydistressinganddesperatesituation.WiththehelpofherlocalLawCentre,Willowfoughtandwonanappealtoreinstateherdisabilityallowanceandapaymentof£2,500inarrears.Theextramoneymakesallthedifferenceto

diverse range of people, many of them vulnerable and facing frightening legal situations. And remember those least able to afford legal advice can often be in most urgent need of it. Solicitors and the wider legal profession are committed to helping them.”

Vicky Ling, Chief Executive of the Trust said

“We are delighted that the legal profession have again risen to the challenge and have turned out in even greater numbers than before.

“Free legal advice services change people’s lives, providing them with expert help to reduce debt, poverty and homelessness, and combat discrimination and injustice. LLST work with the charities we fund to ensure every pound raised goes as far as it possibly can.

Thank you to everyone who has supported the walk thus far, and please do continue to sponsor your friends, colleagues, family members and clients to help us break the fundraising record!”

ThE WALk WiLL TAkE PLACE on MondAY 21ST MAY in 2018.

WANTTOJOINSPG’[email protected]


How to get tHe best deal on solicitors’ professional

indemnity insurance feeltheylacktheinformationtomakeaneducateddecisionaboutwhichinsurertochoose.

ItwouldbewrongtothinkthateveryPIpolicyisthesame.Theydifferonmuchmorethanprice:justaseverylawfirmisdifferent,intermsofitssize,businessmix,claimshistoryandriskappetite,sotooiseveryinsurer.

Two-thirds(66%)ofsurveyrespondentssaytheywantadviceonunderstandingtheirPIpolicyandonwhichisthebestcoverforthemtobuy.That’swhywebelieveit’simportanttohaveanexperiencedbroker,whodoesn’tviewbuyinginsuranceasaquicktransactionbutasapartnership,inwhichthebrokerisatrustedadvisorwhohelpsalawfirmtothrive.Yetlessthanathirdoflawyers(32%)wesurveyedsaidtheirbrokerunderstandstheirbusinessneeds.

responding to our clients’ Pi insurance needs

It’svitalthatyourlawfirmgetsthehelpitneedstobeabletonavigatethiscomplexmarket,aswellashowtopresentyourselfwelltounderwriters.Ifyourpracticeisnotconsideredtobea‘goodrisk’,forwhateverreason,thenyoumaystruggletogetprofessionalindemnitycover–andwithoutapolicyyoudon’thaveabusiness.

It’snotonlythepracticalchallengesofbuyingPIInsurancethatarekeepinglawfirmsawakeatnight.Cybercrime,employeefraud,employmentclaimsanddatalossareseenasbeingthebiggestriskstolawyersoverthenextfiveyears,accordingtooursurvey.Nowonderwhy73%saythathavingabrokerthatkeeps

Choosingtherightprofessionalindemnity(PI)insurancepolicyisoneofthemostimportant

decisionsalawfirmmakes.Everypracticeisrequiredtohaveone,butitissomuchmorethanacompulsoryhurdleforyoutotrade.Italsoprotectsyourbusinessifyouhaveaproblem.

Youdon’tevenneedtohavedoneanythingwrongforyourbusinessandassets–includingpossiblyyourhome–tobeputatrisk.Anaccusationofnegligenceagainstyourfirmcouldsparkalongandexpensivelegalclaimthat,ifyou’renotcareful,couldruinyourlivelihood.

Havingagoodpolicyandinsurerissoimportantbecause,morethananythingelse,itoffersyoupeaceofmind.

AtMiller,werecognisethateverylawfirm’sneedsaredifferentandmustbematchedwiththerightinsurerfortheirbusiness.Yetwealsounderstandthatthebreadthofoptionsforprofessionalindemnityinsurancecanbedifficultandconfusing.ThisiswhywecommissionedanindependentsurveyfocusedonfindingoutexactlywhatthepainpointsareforsolicitorswhenitcomestobuyingPII—andhowwecanbestsupportyou.

Providing clarity on professional indemnity insurance

Morethanthreequarters(77%)ofrespondentssaytheystruggletounderstandtheprocessofrenewingtheirPIinsurance.Thatsurprisesme,butIthinkit’ssomethingforwhichtheinsuranceindustrymusttakeitsshareoftheblame.Ithasfailedlawfirmsifthey

theminformedaboutthemarketisimportant,yetconversely,only13%saytheirbrokercurrentlydoesthis.

richard brown is head of Solicitors’ Practice at Miller insurance. he has over 35 years’ experience in the insurance industry. he specialises in professional indemnity insurance for solicitors registered in England, Wales and ireland, predominantly in the volume sector (ten partners and below) and with a focus on sole practitioners and leads the Miller team which looks after both solicitors and Council of Licensed Conveyancers.

T:02070312487E:[email protected]:www.miller-insurance/solicitors


REGIONAL ROUND UP

I amPennyRaby,aSolePractitionerbasedinPershoreinWorcestershirespecialisinginHighNetWorthandex–patriateFamilyLawcases,andIamdelightedtotakeupthereinsasRegionalCoordinator.IhavebeenontheExecutiveCommitteefor

sometime,andIalsoserveasConferenceOrganiser,sohavemyworkcutoutfortheforeseeablefuture!

Iammakingitmybusinesstogetroundalltheregionswithactivegroupstomeetourmembersandfindouthowwecanhelpthem,andtheycanfeedtheiropinionsandinformationintotheSPG.

IattendedtheCentralLondonGrouponthe19thJuly,whichwashostedmostgenerouslyby33BedfordRowChambers.AninformativetalkwasgivenbyrepresentativesfromtheSRA,andKateBakerfromInspiringspokeaboutCybercrimeandLexel,followedbynetworkingfortheSolepractitionersattending.Themeetingwasanexcellentexampleofthesortofinformative,businessgeneratingandadminboostinggroupeventwecanallbenefitfrom,andSukhjitAhluwaliaandDavidHindedeservegreatcreditfororganisingitatshortnotice.AnyonewishingtojointhisgroupshouldcontactSukhjitonSukhjit_Ahluwalia@ae-law.co.uk,[email protected],Secretary.

IaminvitedtotheBirminghammeetingoftheMidlandsGrouptobehostedbyNo5Chambersonthe11thSeptember2017.AnyMidlandSP’sinterestedtojoinusshouldcontactJerzyKamrowskionjerzy@renatasolicitors.com

IamlookingforwardtomeetingmembersintheEastMidlandsonthe14thSeptemberat10amuntil12noon,atoneoftheofficesofNelsonsSolicitorsintheregion.PleasecontactTinaAttenboroughforfinaldetailson [email protected].

AndIwillbeattendingthemeetingoftheSouthLondonRegionalGroupon22ndSeptember,at6pm,151RyeLanePeckhamLondonSE15.AnylocalmembersinterestedinattendingthemeetingshouldcontactAdjoaDjan-Krofaonadjoa@pishongold.co.uk.

IamintendingtosetupanewRegionalGroupforCotswoldsandAreaSP’s,ofwhomtherearemany! Docontactmeifyouareinterestedtojoin,orhostameeting,togiveatalk,andofcoursetohelpwithorganisation.

Andfinally–ifyouareinterestedinsettingupaRegionalGroupwithinyourownarea,thendoplease contactme.SPGmaybeabletoassistyouwithexpenses,venueandaspeaker.

August 2017

i can be reached on [email protected] or 01386 55114.


AsaSolePractitioner,youareyourbrand.Prospectiveclientsoftenresearchalawfirmbeforedecidingtomakeanenquiryaboutaspecificservice,andtheywillstarttoformanopinionaboutyoufromlookingatyourFacebookposts.Prospectiveclientswillbelookingtoassessyourlegalknowledgeandwhetherornottheywouldliketoworkwithyou.Itisthereforewithinyourpowertotakecontrolofwhatyourclientssee,learnandbelieveaboutyou.

Itisalwaysagoodideatoemployaprofessionalphotographertotakesomegroupandindividualphotographsofyouatwork.Youcanusetheimagesacrossyoursocialmediasites,websiteandinotherpromotionalliterature.Clientsengagewithbrandsbecausetheybelieveabrandsharestheirvaluesandthereisa‘connection’.Socialmediaisthegatewaytothatconnection.

Athirdmistakerelatestothecontentofyourposts.Creatingcompellingcontentcanbeverytime-consuming,whichiswhymanySolicitorschoosetooutsourcethistask.Youneedtofindinteresting,relevantcontentintheformofanarticle,casereport,discussionetc.thatisrelatedtoyoursubjectarea.Muchofthiscanbetakenfromthenationalpressbutyoushouldaddasentenceortwoofyourown,promotingyourownviewpointandthenlinkbacktoyourfirm’sblogorwebsiteinordertopromoteyourbrand.

ItisafactthatFacebookpostscontainingimagesget2.3%moreengagementthanthosewithout,andphotosofpeopletendtoattractmoreclicksthanphotosofobjects.Howaboutsharingyourowntoptips,suchas“Top5ConsiderationsbeforedraftingyourWill”,alongsideanengaging,carefullychosenimage?Don’tforgetthatyouarelookingtobuildtrustandareputationasanexpertwithinyourchosenfield.

Until 2015, Rachel was a practising Solicitor with more than 15 years’ PQE gained

at both large city firms and smaller regional practices, overseeing much of the wider Business Development work that was undertaken at each firm. Rachel left practice to set up her own award-winning business, Links2Leads, which offers sole practitioners and high street law firms a comprehensive, insightful, outsourced and flexible Marketing and Business Development service.

Here, Rachel explains why Facebook is such a valuable tool for marketing your law practice, while also sharing her top 5 tips on the things to avoid.

ThefirstandbiggestmistakeisnothavingaFacebookpageforyourbusiness.Facebooknowattracts2billionmonthlyusers,itisthemostpopularsocialmediasitewith76%ofitsmembersloggingindailytosearchforindividuals,businesses,brands,news,jobsandsubjectsthataretrendingonline.

AlthoughyoumaythinkthatFacebookisjustasiteforindividualswhowanttopostpicturesofwheretheyhavebeenandwhattheyaredoing,itisactuallyaninvaluablemarketingplatformforattractingnewclientstoyourpractice,particularlyinrelationtoConveyancing,FamilyLaw,PersonalInjuryandWillsandTrusts.

AsecondmistakeisfailingtopostconsistentlytoyourFacebookpage.Ifithasbeenmonthssinceyourlastpost,peoplecouldassumethatyourpracticeisnolongeropenorthatyouaresimplyoutdated.PostingonFacebookatleastonceadaytakesamatterofminutesandyoucanevenprepareandscheduleyourcontentinadvance,therebysavingyourselfevenmoretime.

Afourthmistakeisnotmakingthemostofvideo,andspecificallyFacebookLive.VideoplaysanincreasinglyimportantroleonSocialMedia,havingbecomethepreferredwaytocommunicateanengaging,authenticandpowerfulmessagetoanyoneandeveryone.Itisquick,easyandinexpensivetocreateaneducational,informativeandinterestingvideothatcontainsanelementofQ&Aorintroducestheviewertoyourpracticeandwhatyoucanoffer.

AfifthmistakeisfailingtocapitaliseonFacebookAdvertising,whichallowsyoutopromoteyourFacebookbusinesspage,boostyourposts,advertiseseminarsandlinktoyourwebsite.Facebook’stargetingcapabilityisveryprecise,allowingyoutotargetusersbasedontheirage,gender,interests,connections,relationshipstatusandmuchmore.Ifyouhaveanemaillist,youcanalsocreatelook-alikeaudiences,whichtargetsotheruserswhoare‘similar’inanumberofways.Forasmallinvestmentof£150upwardsamonth,youhavetheabilitytoreachthousandsoflocal,potentialclientswhoallfitnicelywithinyouridealtargetmarket.

Therefore,itisagoodideatothinkabouthowyouwantthegeneralpublictoperceiveyourpractice.WillyourFacebookbusinesspageresembleacleansuitandacrispwhiteshirt,orwillitresembleanoldstainedjacketandanun-ironedshirt?ItisvitaltoinvesttherightamountoftimeandeffortintopolishingyourFacebookpresenceasitwillhelptodevelopyourpractice’sbrand,reputationandvisibilityonline.Canyouaffordnotto?

rachel Tombs,Links2Leads

Five marketing mistakes that SolicitorS often

make with facebook


A NOTE FROM THE honorArY SECrETArY

immediatelyafterthelastAGMtoelectKemiascontinuingchairmanuntilthen.AtthesametimeTahiraShaffiwasre-electedvice-chairmanandKemMasinbo-Amobiwaselectedournewtreasurer.

IntheabsenceofanyoneelsecontestingthepostofHonorarySecretaryIcontinueinthatpostthemoment.HoweveritiswiththeadmirablesupportofCharleyMasaratiofBywordwhowithherorganisation,isprovidingsecretarialservicesandwillprovidesupportservicesfortheconferenceonthefuture.

InreportingachangeofTreasurerIhavetogiveacknowledgementtothepreviousworkofRupertScrasewhohasheldthepostforthelastfewyearsandrecentlythroughdifficulttimes.Hehasresignedastreasurerandasexecutivecommitteemembertoconcentrateonhispractice.

TherehasbeenasmoothtransitiontoKemastreasurerbutofcoursealltheusualbureaucracyofchangingofaccountsandsignatureshastobegonethrough.

AlsoattheannualgeneralmeetingweacknowledgedwiththanksthelongserviceprovidedbyIanLithmaninmanyrolesincludingchairmanandrecentlynominatedLawSocietyCouncilmemberfortheGroup.ReaderswillknowofhisearlydaysfromhisanecdotesinSoloabout“articlesofclerkship”beforetheyreceivedthenon-descriptsoubriquetof“traineecontracts”.Herecentlycelebrated50yearsoflegalpracticeandhasservedtheGroupwithdistinctioninhisowncharacteristicway.

OtherswhohaverecentlyleftthecommitteeareSueCarterwhohasbeenaverylongtermmemberofthecommitteeandanex-chairmanandalsolongtimeCouncilMemberfortheGroup.

HavingstartedmynoteinthelasteditionbysayingthattheHonorarySecretary’sjob

normallyrunsverysmoothly,andthensettingoutalltheproblemsthatwehadoverthepastyear,Iamgladtoreportthatmattersaregettingbacktonormalagain.ThisfollowsanExecutiveCommitteemeetingheldatTheLawSocietyagainfollowedbyanAGMheldinthesplendidsurroundingsoftheReadingRoom.Thismaybesomethingwecan’taffordeveryyearbutonoccasions,possiblyatleastonceayearisimportantinmyviewforustophysicallyconnectwithourSociety.

Theexperimentofanautumnconference,whichbecameasuccessfulChristmasconferenceinPrague,willnotcontinueatthemomentandwewillreverttothespringconferences,whichseemtobemoreinkeepingwiththeexpectationofourmembersandtheleadtimerequiredfortheirpreparation.Theyneedanenormousamountofworkbyadedicatedgroupofpeople,andiftheyaretobeinthespringthatcanbedoneoverthewinterperiod,butiftheyaretobeintheautumnthenthathastobedoneoverthesummerperiodwhenonecannotexpectvolunteers,particularlywithfamilies,togivetheirtimeasfreely.

Onthatbasisthenextresidentialannualconferencewillbeontheweekendofthe20th,21stand22ndofApril2018andIhopeyouwillallbeputtingthatdateinyourdiaryandreservingit.

KemiMosakuwillcontinueaschairmanuntilthatconference.Thiswasconfirmedbyaresolutionoftheexecutivecommitteeeffective

WealsosaygoodbyetomorerecentcommitteemembersTinaAttenborough,ShakInyatandNaveenGalal.

IanLithman’sdeparturehasleftvacantthesecondpostforLawSocietyCouncilmembershipfortheGroup.Ihavebeennominatedforthatbytheexecutivecommittee,andasfromJulyandtheannualgeneralmeetingofTheLawSocietyIamyourcouncilmemberwithLubnaShuja,whoseadviceandguidancetodatehasbeenagreatsupport.

IwillbepleasedtojoinLubnainreportingtoyouinthenexteditionsofSoloastotheactivitiesofthemeetingsandactivitiesofTheLawSociety.IhavebeenfortunateenoughtobeabletojointheScrutinyandPerformanceReviewCommitteeoftheLawSociety.

FinallycanIsaythatformanyyearsIhavebeenChairmanoftheInsuranceSubcommitteeliaisingwithourpreferredbrokers,recentlyWillis,butnowMillerInsuranceBrokersthroughtheirrepresentativeRichardBrownwhohasbeenagoodfriendtotheGroupformanyyears.Duetothedeparturesofthepreviousmembersofthecommittee,KarenPurdyandnowRupertScrase,thecommitteenowcomprisesmyself,togetherwithNicholasWoolfandKemMasinbo-Amobi,thelatterinhercapacityastreasurer.

CanIencourageanyonewhowouldliketotakeaninterestintherunningoftheGrouptocometoanyofourExecutiveCommitteemeetingsasanobserverandthendecideiftheywouldliketobeformalmembersoftheexecutivecommitteewhichcanhappenbyaninformalappointmentbetweenmeetingsandwithaformalnominationattheAGM.Travelexpensesarepaidforallmeetings.

Clive Sutton HonorarySecretary


A NOTE FROM THE honorArY SECrETArY

andthereforeemployershavebeenrelativelyrobustintheirpositionondefendingclaims,knowingthatinalllikelihood,theindividualemployeewasunlikelytopaytoproceedwiththeircomplaint.

ThetradeunionUnisonfirstappliedforjudicialreviewofthefeesintheHighCourtinFebruary2014butitwasdismissed.AtthetimetheCourtfeltthatthechallengehadbeenbroughtprematurelyandlackedrobustevidencetoshowthefeeswerepreventingaccesstojustice.Laterthatyear(December2014)asecondapplicationwasmadeandagainthiswasstruckout,onthebasisthattherewasinsufficientevidencetosupportadropinclaimssincetheintroductionofthefees.

MovingintotheSpringof2015,UnisonappealedthetwodecisionstotheCourtofAppealwhodismissedtheappealfindingthedeclineincaseswasunlikelytobeentirelyduetoClaimantsnotbeingabletopay.

Fastforwardtothepresent,andUnisonappliedforjudicialreviewattheSupremeCourtwho,on26thJuly2017,inaunanimousdecision,foundthattheEmploymentTribunalfeeswereunlawfulandquashedtheFeeOrder2013requiringfeestobepaid.Insodeciding,itwasheldthat:thefeeshadpreventedaccesstojustice;itwasindirectlydiscriminatory,puttingprimarilywomenatadisadvantage(asitwasfoundtherewasagreaterproportionofwomenthanmenhavingtopaythehigherfeeduetothemajorityofdiscriminationclaimswerebroughtbywomen);itwentagainsttheParliamentarylegislationgrantingemploymentrights;anditwascontrarytoEUlaw.

Where we are nowTheeffectoftheSupremeCourt’sdecisionisthatallfeespaidsincetheirintroductionon29thJuly2013must

Manywillhaveseeninthenews,butforthosewhomaynotbeaware,therehasbeena

landmarkrulingbytheSupremeCourtinR(Unison)vLordChancellor,thatemploymenttribunalfeesareunlawful.BeforeIembarkonwhatthismeansmovingforward,letmetakeyoubacktowhenitallstarted.

A potted historyEmploymenttribunalfees(fees)wereinitiallyintroducedintheEmploymentTribunalon29thJuly2013bytheFeesOrder2013(EmploymentTribunalandtheEmploymentAppealTribunalFeesOrder2013(SI2013/1893)).Thereweretwofeespayable(theissuefeeandthehearingfee),dependingonthetypeofclaim(TypeAandTypeB).Therewerealsoadditionalfeessuchassubmittingacounterclaim,applyingforarevieworandappeal.

Inaddition,subjecttotheclaimant’sfinancialcircumstances,therewasafeeremissionscheme,inrespectofeitherallorpartofthefee.

Ifthefeewasnotpaid(orremissionapplicationmade)theclaimwasrejected.

Judicial reviewsSinceJuly2013therehavebeenanumberofchallengesonthelawfulnessofintroducingfeesinrespectofitpreventingaccesstojustice.Putsimply,argumentswereadvancedthatemployeeswouldbefinanciallyputofffromraisingclaimsagainsttheiremployersbecauseofthecosttosue.

Indeed,thenumberofclaimsrapidlydroppedfollowingthefeeintroduction

bereimbursed.Equallyallfeesmovingforwardarenolongerpayable.Assuchtheemploymenttribunalserviceisalreadyupdatingtheonlinesystemtolodgeaclaimsointheinterimperiod,applicationswillbemadebypost.

Inpractice,EmploymentTribunalclaimsaregoingtoriseandwehavealreadyseenanumberofclaimscomethroughtheTribunalsysteminthelastcoupleofweeks.

AllclaimsbroughtinrelianceofthisdecisionhavebeenstayedbythePresidentsoftheEmploymentTribunalsinEnglandandScotland.ThisistoawaitthedecisionfromtheMinistryofJusticeandHerMajesty’sCourtServiceinrespectoftheimplicationsoftheUnisondecision.Thismeansthosewhowanttoreinstateclaimsthereweredismissedorstruckoutfornon-paymentofthefees.Needlesstosay,iftheseclaimsarepermittedtobereinstated,thelifeofanemploymentsolicitorisgoingtobecomeverybusy.

Inrespectofprocessingrefunds,theEmploymentTribunalsareworkingonthisaswespeak.Itwillbesomewhatofamammothtaskaspartoftheprocesswillbetoensurethecorrectpeoplearerefunded,astherearenodoubtclaimsinvolvingmultipleclaimantsandthosewheretheRespondentwasorderedtopaytheClaimant’sfees.WeareadvisedweshouldhearmoreinSeptember.

Finally,therewasdiscussionoverwhetherareplacementfeeregimewouldbeputinplace,i.e.afeerequirementalbeitonamuchlowervalue,however,thisisunlikelytohappenintheshorttermgiventheGovernment’spresentpositionwithaslimmajority.

kirsty SwanSwanCraigSolicitors

Articlesubmittedon17thAugust2017

Goodbye EmPLoYmEnT TriBUnAL fEES


An IntroductIon to the new PresIdentBy Joe Egan, President of the Law Society of England and Wales

partofatrulydemocraticsociety.Thefactthatsolicitorskeepanincreasinglycreakysystemgoingbyourgoodwillandprobonoworkwillalsobehighlighted.

Ouroutgoingpresidentregardedsocialmobilityasveryimportantandthattooisapriority.Iwasveryfortunate,although,likemany,didnotrealiseitatthetime,inthatallmyeducationwasfreeandIgotagrant.

Itismuchmoredifficult,ifnotimpossible,nowadaysforpeoplefrommykindofbackgroundtojoinourprofessionandIintendtobacktheworktheSocietyisdoingtoremoveanysuchbarrierstoentry.

TheLawSocietyexiststoserveit’smembersandIknowthatmanysolopractitionersarefocusedonissuesliketheGeneralDataProtectionRegulationandtheDataProtectionBill.

WehavealreadydoneworkonthesetopicswhichI’dliketohighlighttoyou–http://www.lawsociety.org.uk/communities/the-city/articles/whos-afraid-of-the-gdpr/

Thefirstjobofthepresident,italwaysseemedtome,istomakesuretheshipisgoingintheright

directionandisproperlyresourcedratherthantryingtosetitonsomenewcourseImightfancy.

Agooddealoftheworkaspresidentissetinstone.Apartfromchairingthefiveorsixcouncilgatherings,thepresidentisexpectedtoattendmanyothermeetingssuchasthemanagementandmembershipboards.AndeveryyeartherewillbeforeigndelegationswhichthepresidenthostsatChanceryLane,suchasthosefromChina,MalaysiaorIndiabookedinforthisautumn.

Theexportoflegalservicesisahugeandimportantpartofoureconomy–whichiswhytherolealsorequiressomeforeigntravel.InOctober,theInternationalBarAssociationconferenceisbeingheldinSydney.OthertripstoRussia,JapanandKoreaarepencilledin.Giventhepre-eminenceofthelawofEnglandandWalestheSocietyfeelsitisvitalthatwekeepahighprofileandnetworkatsucheventstoassistourlawyersinbuildingandservicingthesemarkets.

WhilstIhavenodesiretodivertstafforotherresourcestomyparticularinterests,thereistheabilitytoinfluencemattersgoingforward.Projectsstartedbymypredecessorssuchasplacingaccesstojusticehighontheagendaorthe“PrideintheProfession”initiativestartedbyRobertBournsareveryimportantandIintendtocontinuebackingthem.

Whichevergovernmentisinpower,wewillcontinuetodeliverthemessagethataccesstojusticeisafundamental

–andmoreinformationwillbeforthcomingoverthecomingmonths.Andofcoursethere’saraftofmaterialonthisandotherissuesavailableonourwebsite–lawsociety.org.uk.

OurPracticeAdviceServiceofferssupportandadviceonareasasdiverseasanti-moneylaundering,conveyancing,privateclient,litigationandsolicitors’costs.

Finally,IwaselectedonaplatformofremindingChanceryLanethatthereislifeoutsideLondon.

Oneofthegreatdelightsofbeinganofficeholderisbeinginvitedtoattend,andoftenspeakat,locallawsocietydinners.IhavealwaysregardeditasasmallsacrificetogiveupmySaturdaymorninglieintotravelbackfromsuchsplendidevenings.

IintendtocontinueacceptingasmanysuchinvitationsasIcanduringmypresidencyandhopetogatherthevastexperienceandknowhowofthesesocietiestogetherinahandbooktoassistallsocietiesbigorsmall.Ilookforwardtomeetingasmanyofyouaspossibleinthecomingmonths.

Who’s afraid of the GdPr? – The Law Society

www.lawsociety.org.uk

TimeisrunningouttoprepareforwhatisbeingdescribedasamajoroverhauloftheEUdataprotectionregime.TheGeneralDataProtectionRegulation(GDPR)will...


wHy getting a good professional indemnity insurance broker could save your law firm money

2. Approachprofessionalindemnityinsurerstoobtainthemostappropriatedealforyoursolicitor’spractice.Inprovidingtermstheyarerequiredtodisclosetheextentofthisexercise:

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APIIbroker’sroleshouldn’tonlybetofindyouanewpolicyeachyear.Itshouldalsobeableto:

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MembershipCommitteetoconsiderwhetherCouncilisfullyrepresentative,andrecommendationswillcometoCouncilinduecourse.

Law Society – planning and finance

Financialplansfornextyeararebasedonafurtherreductioninthepractisingcertificatefee,reflectingtheSociety’scontinuingdrivetosecurevalueformoneyforitsmembers.Aspartofthebusinessplanningprocessfornextyearandbeyond,afreshlookisbeingtakenatthepurposeoftheSocietyanditsobjectivesandculture.ThiswillcometogetherinplansforthenextfinancialandbusinessyearwhichbeginsinNovember.TheLawSocietyGroup’sAnnualReportandAccountsforthepreviousyearwerealsopresentedandcanbefoundontheLawSocietywebsite:http://www.lawsociety.org.uk/about-us/annual-report/.

PraiseforunsungprobonoCouncildiscussedthegreatworkdonebyLawSocietymemberstosupportvictimsoftheLondonBridge,FinsburyParkandManchesteratrocitiesaswellastheGrenfellTowerdisaster.TheLawSocietyworkedbehindthescenestohelpconnectsolicitorsofferingprobonohelpwithclientsindesperateneed.

SQE – representing our views

SQEwasalsodiscussed,withtheSocietypreparingitsresponsetothelatestSRAconsultationwhichisduetoclosethismonth.Theneedforrigourandclarityinthedefinitionof“degreeequivalent”willbeflaggedupasthereshouldbenodropinstandards,especiallyinlightofBrexitandtheneedtoretaintheglobalstandingoftheprofession.

brexit action

TheSocietyhasbeenworkinghardtohelpthegovernmentasnegotiations

I attendedtheLawSocietyCouncilmeetingon5and6July2017inmycapacityasCouncilMember

representingsolepractitioners.IattachbelowanupdateonsomeLawSocietyactivitiestogetherwithasummaryofthekeyissuesdiscussedbytheCouncilduringthatmeeting.UpdatesarealsoavailableontheSPGwebsite.IfyouwouldliketodiscussorraiseanyissuesaffectingsolepractitionerswiththeLawSociety,pleasedonothesitatetocontactmeoninfo@legalswan.comoron01215517866.

Changes to governance for 2018 January

2018isplannedtoseetheroll-outofthefirstphaseofthenewgovernancearrangementsagreedbyCouncil.Thegovernancereviewhasbeenunderwayforsometime,andtheimplementationoftheinitialsetofchangeshasnowbeenagreed.ThenewMainBoard,intendedtofacilitateefficientandagiledecisionmaking,willmeetatleasteverytwomonths.FeedingintothisBoardwillbeoneboardcoveringpolicyandregulationandanothercoveringmembershipandoperations.ChairsoftheseboardswillsitontheMainBoard.Thespecialistcommitteeswhobringtheirexpertadviceandperspectivetothepolicyworkofthesocietywillreporttothepolicyandregulationboard.WorkisalsounderwaybytheCouncil

beginandensurethatissuesincludingmutualrecognitionandaccessrightsarecentraltodiscussion.TheseweresetoutintheLawSociety’smanifestoforjusticeandhaveshapeddialoguewiththegovernment.TheSocietyhasalsobeenworkingwithotherEuropeanbarstoprotectourmutualinterestsastheprocessmoveson.TheSocietyhasadedicatedwebpageonitsworktosupporttheprofessionandthereputationofEnglandandWalesasagloballegalcentre:http://www.lawsociety.org.uk/policycampaigns/campaigns/global-legal-centre/

Greater diversity

CouncildiscusseddiversityintheprofessionandnotedtheworkdonebytheSocietytohelpincreasethisatalllevels.ThisincludestheSociety’sDiversityandInclusioncharterforfirms,aswellastheSociety’ssocialmobilityambassadors,showcasingpeoplewhohavecometotheprofessionfromnontraditionalbackgroundsaswellastheDivisionsforwomen,ethnicminority,LGBTlawyersandlawyerswithdisabilities.TheSocietywillcontinuetofocusonactivitiestosupportcareerprogressionandwellbeingforunderrepresentedgroupsandhelpfirmstackletheseissues.

Changes to the Gazette

YouwillseeanewapproachintheGazettewhichisnowfeaturingtheoutcomesofCouncilmeetingsandgivingmorevisibilitytotheoutputsfromtheSociety’sexpertcommittees.

UPDATE FROM LAW SOCIETY – LUBNA SHUJA


(HMCTS)thattheschemecouldheapmorepressureonanalreadyfragilesystem.

Wales

TheLawSocietyWalesofficeheldapaneldiscussionattheNationalEisteddfodforWalesinAngleseywhichfocusedonthelawandtheWelshlanguage.ThepanelwaschairedbyJudgeMeleriTudur,DeputyChamberPresidentoftheHealth,EducationandSocialCareChamber.ThepanellistswereIwanEvans,HeadofLegalServices,GwyneddCouncil;DylanJones,Director,RGordonRobertsLaurie&Co;andParryDavies,Clwyd-JonesandLloyd.Thediscussionwaswell-attendedandwell-receivedbymembers,thejudiciaryandkeystakeholders.

And finally …….

NewPresidentandOfficersFollowingtheCouncilmeeting,JoeEganbecamethenewPresidentoftheLawSociety.ChristinaBlacklawsbecamethe

hMCTS proposals for a flexible operating hours pilot

Speed,easeandefficiencyarelaudableobjectivesforthecourtsysteminEnglandandWales,butcurrentproposalsforaflexibleoperatinghourspilotraisefarmoreconcernsthansolutions.WhentheplantopilotextendedcourtopeninghourswasfirstannouncedinMay,theSocietywarnedHMCourts&TribunalsService

Vice-PresidentandSimonDavistheDeputyVicePresident.SPGcongratulatesthemallandlooksforwardtoworkingwiththemoverthecomingyear.AnumberofnewCouncilmemberswereelectedincludingCliveSuttonwhowillrepresentsolepractitionersalongsideme.HetakestheplaceofIanLithmanwhoretiredfromCouncilthisyearaftermanyyearsofservice.OnbehalfofSPGIwouldliketothankIanimmenselyforhistirelesseffortstoputsolepractitionersattheforefrontofCouncil’sAgendaforsolongandIamsureyouwilljoinmeinwishinghimallthebestinhisretirement.IwouldalsoliketocongratulateCliveonhisappointment.IhavenodoubthewillcontinuewiththegoodworkandbuildontheexcellentrelationshipwehavewiththeLawSociety.

Lubna Shuja LawSocietyCouncilMember (July2017)

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AnTi-monEY LAUnDErinG rEGULATionS – foUr PrinCiPLES To GUiDE SoLE

PrACTiTionErS ThroUGh ThE minEfiELDBY NICHOLAS WOOLF, DIRECTOR AND PRINCIPAL, NICHOLAS WOOLF & CO, AND SAM

CHEESBROUGH, ASSOCIATE, NICHOLAS WOOLF & CO Similarly,Regulation39makesclearthatyoumustkeeprecordsofchecksonclientsforatleastfiveyearsafterthebusinessrelationshiphascometoanend.Keepingacentralised,electronicrecord,ratherthanapaperrecord,may(inthisinstance)bepreferable,notonlyasitkeepstheofficefreefromclutter,butalsobecauseitiseasilyaccessibleifyouarerequiredtoproducesuchrecordstotheSRA.

2. don’t rest on your laurels

Theriskassessmentandpoliciesmustbereviewedandupdated,andsoadateshouldbediarisedforthis(potentially)laborioustask.Lookingahead,itmaybecomeincreasinglyimportanttokeepontopofyourriskassessmentandpoliciesasBrexitapproaches,andintheaftermath.

TheRegulationsimplementtheEU’sFourthMoneyLaunderingDirective,anditispossiblethatoncetheUKhaslefttheEU,theymayreviewthese(andothersimilar)Regulations.Gettingintothehabitofreviewingriskassessmentsandpoliciesmay,apartfromensuring

TheMoneylaundering,TerroristFinancingandTransferofFunds(InformationonthePayer)

Regulations2017(“theRegulations”)cameintoforceon26thJune2017,andimposeanumberofobligationsonsolicitors’firms.Thefollowingarefourprinciples,whichappeartosetouttheintentionsunderpinningmanyoftheRegulations,thatsolepractitionersmaywishtoconsiderwhenputtinginplacethevariousmeasuresrequiredbytheRegulations.

1. Get it in writing, and put it somewhere accessible

Regulations18and19setouttherequirementsregardingriskassessmentsandpoliciesthatyourfirmmustputinplace.Importantly,suchriskassessmentsandpoliciesmustbereducedtowriting.Itwillalsobenecessarytoproducetheriskassessments,togetherwiththeinformationonwhichitwasbasedandanup-to-datewrittenrecordofyourriskassessmentsteps,totheSRAuponrequest.

compliancewiththeRegulations,alsohelptoavoidbeingcaughtout,inwhatmaybecomearapidlymovingregulatorylandscape.

Similarly,inadditiontothevariousfactorssetoutinRegulation18thatmustbetakenintoaccountinanyriskassessment,itwillalsobenecessarytotakeintoaccountany“information made available”bytheSRA.TheSRAhasnotyetprovidedguidanceonthisissue,sowatchthisspace.

3. Tailor the templates to your circumstances

Itisverytemptingtodownloadoneofthemanyspecimenpoliciesandriskassessments,andleaveitunchanged.However,thismaycauseanumberofproblemsforsolepractitioners.TheRegulationsrequireyourpoliciestobe“proportionate with regard to the size and nature of the relevant person’s business”.Whatisappropriateforamulti-nationalfirmisunlikelytobeappropriateforasolepractitioner.Similarly,whatisappropriateforafirmthatdoesmainlyprivateclient


speedwiththeRegulations.Regulation24makesclearthatyoumusttakemeasurestoensurethatyouandyouremployeesaremadeawareoftherequirementsofdataprotection.

Asabove,whatconstitutes“appropriate measures”willdependonthesizeandnatureofyourfirm.However,therearemanyconferencesandtalksthataredesignedtoinformparticipantsofanychangesinthelaw,andonstepsthatcan(andshould)betakentoensurecompliancewiththelaw.LawSocietyguidanceshouldbefollowed.ItmaybethatfurthermeasuresneedtobetakentocomplywiththeRegulations.Attendingsuchconferencesandtalksisausefulstartingpoint.

Conclusion

Itisveryeasytobecomelostinaregulatoryminefield,particularlywheretheregulationsareprescriptive,andyetalsoambiguous.Itishopedthattheabovefourprinciples,broadlyspeaking,

workmaynotbeappropriateforafirmdealingmainlywithcompaniesinotherjurisdictions.

Specimensareagoodspringboardtodraftingyourpoliciesandmakingyourriskassessments.However,whereaspecimenhasnotbeendesignedwithyourparticularcircumstancesinmind,thereisariskofeither(1)breachingtheRegulationsbynotdoingenough,andsonotcomplyingwithyourobligations,or(2)expendingtoomuchtimeandmoneyincomplyingwithpoliciesandundertakingassessmentsthatfarexceedwhatisnecessaryforyourfirm.

4. keep up-to-date

Itisnotunusualforpeopletoaccusethelegalworldofbeingbehindthetimes,ornotup-to-date,withtechnology.However,iftherecentspateofcyberattacksshowsanything,itistheimportanceofensuringthatyou,whomustbeapprovedbytheSRA,andyouremployees,whoyoumusttrain,areupto

mayhelptoguidesolepractitionersthroughthisminefield,andtosafershores.

©NicholasWoolf,DirectorandPrincipal,Nicholas

Woolf&Co,andSamCheesbrough,Associate,

NicholasWoolf&Co.

8thAugust2017

diSCLAiMEr

Thisnotecomprisestheviewoftheauthor

asat8thAugust2017.Thisnoteisnot

asubstituteforlegaladvice.Information

maybeincorrectoroutofdate,andmay

notconstituteadefinitiveorcomplete

statementofthelaworthelegalmarket

inanyarea.Thisnoteisnotintendedto

constituteadviceinanyspecificsituation.

Youshouldtakelegaladviceinspecific

situations.Allimpliedwarrantiesand

conditionsareexcluded,tothemaximum

extentpermittedbylaw.

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