• 1.0 Overview
• 1.0 Culture
• 1.0 Central Office Contacts
• 1.0 Part One - Administration
• 1.1 Assessing, accepting and declining instructions
• 1.2 Client introduction and set-up
• 1.2.1 New client set-up
• 1.2.2 New matter set-up
• 1.2.3 Client introduction by Central Office
• 1.2.4 Client introduction by you
• 1.2.5 Contact through the website
• 1.2.6 Keystone Engagement Letter
• 1.2.6.1 Periodic retainers
• 1.2.6.2 Joint/multiple clients and instructions through an intermediary
• 1.2.6.3 Scope of engagements
• 1.2.6.4 Changing the scope of the retainer
• 1.2.7 Keystone being onboarded by clients
• 1.2.8 Summary of the client set-up process
• 1.2.9 Matters not proceeding
• 1.2.10 Contracting with consumers
• 1.2.11 Contracting with clients overseas and clients who pose a credit risk
• 1.2.12 Contracting with those without capacity
• 1.2.12.1 Contracting with minors
• 1.2.12.2 Contracting with others without mental capacity/clients losing capacity
• 1.2.12.3 Death of a client
• 1.2.13 Contracting with vulnerable clients
• 1.2.14 Contracting via other professionals
• 1.2.15 Working within other UK law firms through Keystone
• 1.2.16 Acting as co-counsel with UK and foreign law firms
• 1.3 Communications
• 1.3.1 Email
• 1.3.1.1 Administration
• 1.3.1.2 Teams from Microsoft, a business unified communications system
• 1.3.2 "What's Happening" - internal social networking
• 1.3.3 Telephone switchboard
• 1.3.4 Incoming post and DX
• 1.3.5 International post
• 1.3.6 Courier services
• 1.3.7 Fax
• 1.4 File Maintenance and closure
• 1.4.1 File maintenance and naming
• 1.4.2 Closing a matter
• 1.4.3 Closing a file under CQS
• 1.4.4 Archiving of files
• 1.4.4.1 Archiving of paper files
• 1.4.4.2 Archiving of digital files
• 1.4.5 Retrieval of archived files
• 1.4.5.1 Retrieval of archived paper files
• 1.4.5.2 Retrieval of archived digital files
• 1.4.6 Document retention
• 1.4.7 Destruction of files
• 1.4.8 Ownership of client files
• 1.4.9 File requests by clients
• 1.4.10 File Requests by Insolvency Practitioners
• 1.5 Business continuity
• 1.6 Authority to bind Keystone
• 1.7 Requesting a director sign a document on behalf of the firm
• 1.8 Instructing other law firms, experts, advisers, etc.
• 1.9 Pro bono work
• 1.10 Holidays
• 1.10.1 Taking a holiday
• 1.10.2 Out-of-office email auto-response
• 2.0 Part Two - Financial and Invoicing
• 2.1 Revenue sharing
• 2.1.1 General rule
• 2.1.2 Client introductions and 'chain' introductions
• 2.1.3 Website, press and events rule
• 2.1.4 Developing clients owned by Central Office
• 2.1.5 Introducing a client already owned by a colleague's pod
• 2.1.6 Bringing clients to the firm on joining and other exceptions
• 2.1.7 Determining client ownership at matter level
• 2.1.8 Gifting matter ownership
• 2.1.9 Referrers of clients
• 2.1.10 Clients disinstructing lawyers and change of control
• 2.1.11 Clients left behind by exiting lawyers
• 2.1.12 Keypoint Australia
• 2.2 Invoicing fees and disbursements
• 2.2.1 Setting fees
• 2.2.2 Time recording
• 2.2.3 Invoicing (general)
• 2.2.4 Types of invoices and their effects
• 2.2.4.1 Interim Statute Invoice
• 2.2.4.2 Interim Non-Statute Invoice
• 2.2.4.3 Final Statute Invoice
• 2.2.5 Payment terms
• 2.2.6 Fee notes
• 2.2.7 Invoicing process
• 2.2.8 Disbursements
• 2.2.9 Costs estimates, management and budgets
• 2.2.10 Credit control
• 2.2.11 Complaints and assessments of our fees
• 2.2.12 Payment in equity/shares and investing in clients
• 2.3 Costs exposure and guarantees
• 2.3.1 Costs on account
• 2.3.2 Exposure on fees and disbursements
• 2.3.2.1 Fee guarantee
• 2.3.2.2 Disbursement guarantee
• 2.4 Client money and the Client Account
• 2.4.1 Client Account details (UK)
• 2.4.1.1 Sterling client account details
• 2.4.1.2 Dollar client account details
• 2.4.1.3 Euro client account details
• 2.4.2 Client Account details (IOM)
• 2.4.2.1 Sterling client account details
• 2.4.3 Confirming account details
• 2.4.4 Payments into the Client Account
• 2.4.5 Making payments from the Client Account
• 2.4.6 Client Authority to Transfer
• 2.4.7 Fraud checks when sending funds
• 2.4.8 Discharging Invoices from client funds
• 2.4.9 Client escrow account
• 2.4.10 Acceptable use of our Client Account (the Rule against acting as a bank)
• 2.4.11 Client account interest
• 2.4.12 Client account balances
• 2.4.13 Returning funds to the client
• 2.4.14 Designated Client Deposit Account
• 2.4.15 Miscellaneous client account matters
• 3.0 Part Three - Facilities and Support
• 3.1 Central Office
• 3.2 Keyed-In
• 3.3 Meeting rooms and facilities
• 3.3.1 Meeting rooms
• 3.3.1.1 Central Office
• 3.3.1.2 Bristol meeting rooms
• 3.3.1.3 Newcastle meeting rooms
• 3.3.1.4 Manchester meeting rooms
• 3.3.2 Hot desks and permanent desks
• 3.3.2.1 London
• 3.3.2.2 Bristol
• 3.4 Central Office Lawyers (COLs)
• 3.4.1 All practice areas
• 3.4.2 Corporate/Commercial
• 3.4.3 Employment
• 3.4.4 Family
• 3.4.5 International arbitration
• 3.4.6 IP/Technology
• 3.4.7 Litigation
• 3.4.8 Property
• 3.5 Engaging colleagues
• 3.5.1 General
• 3.5.2 Becoming too busy/overworked
• 3.5.3 Using temporary colleagues
• 3.5.4 Growing your Pod
• 3.5.5 Professional titles
• 3.6 IT support and training
• 3.6.1 IT support
• 3.6.2 IT training guides
• 3.6.3 Refresher IT training
• 3.7 Marketing activity
• 3.7.1 Pitches and business development
• 3.7.1.1 Pitch Builder
• 3.7.2 Client entertaining
• 3.7.3 Brochures
• 3.7.4 Events
• 3.7.5 Event facilities
• 3.7.6 Presentations and conferences
• 3.7.7 Sponsorship and partnership opportunities
• 3.7.8 Advertising
• 3.7.9 Public relations and media management
• 3.7.10 Responding to journalists
• 3.7.11 Negative publicity
• 3.7.12 Access to restricted publications and trade press
• 3.7.13 Keystone websites
• 3.7.13.1 Your profile on the Keystone website
• 3.7.14 Personal websites and blogs
• 3.7.15 Social media
• 3.7.15.1 Linkedin
• 3.7.15.2 Twitter
• 3.7.15.3 Facebook
• 3.7.15.4 Instagram
• 3.7.16 Keynotes
• 3.7.17 Client newsletter
• 3.7.18 Bespoke newsletters
• 3.7.19 KeyNews
• 3.7.20 Legal directories
• 3.7.21 Memberships of trade and professional bodies
• 3.7.22 Use of the Keystone logo and our branding
• 3.7.23 Client feedback
• 3.8 Firm-wide tools
• 3.8.1 Document production
• 3.8.2 Proofreading
• 3.8.3 Document comparison
• 3.8.4 KeyBot v2
• 3.8.5 Company formation
• 3.8.6 Legal forms library
• 3.8.7 Company secretarial
• 3.8.8 Law libraries
• 3.8.9 Sharing documents/online data rooms
• 3.8.10 Strong room/safe
• 3.8.11 Sending large digital files
• 3.8.12 Digital Execution Protocol
• 3.8.13 Digital execution platforms
• 3.8.14 External paralegals
• 3.8.15 Secretarial support
• 3.8.15.1 Typing and document production
• 3.8.15.2 Personal assistants
• 3.8.15.3 Remote personal assistant service
• 3.8.16 Voice transcription software
• 3.8.17 Translation services
• 3.9 Practice area specific support
• 3.9.1 Dispute resolution
• 3.9.1.1 Engagement Letter
• 3.9.1.2 Arbitration and mediation
• 3.9.1.3 Costs budgeting and costs management
• 3.9.1.4 Conditional fee agreements (CFAs)
• 3.9.1.5 CFA guidelines
• 3.9.1.6 Contingency fee agreements
• 3.9.1.7 Damages-based agreements (DBAs)
• 3.9.1.8 Litigation funding
• 3.9.1.9 Legal expenses insurance
• 3.9.1.10 Unbundled litigation services including not acting €˜on the court record'
• 3.9.1.11 Witness statements
• 3.9.1.12 Privilege
• 3.9.1.13 Instructing barristers
• 3.9.1.14 Document support services
• 3.9.1.15 Electronic disclosure (aka e-disclosure)
• 3.9.1.16 Court clerking
• 3.9.1.17 E-filing
• 3.9.1.18 Pre-sue reports
• 3.9.1.19 Telephone Legal Hearings - court conference-call service
• 3.9.1.20 Court video conferencing
• 3.9.1.21 Money Claim Online (MCOL)
• 3.9.1.22 Possession claim online (PCOL)
• 3.9.1.23 RaPId Claim Settlement/RTA Portal
• 3.9.1.24 Damages Claim Portal
• 3.9.1.25 Criminal Justice Secure Mail
• 3.9.1.26 Class actions
• 3.9.1.27 Service of documents
• 3.9.1.28 Authority to instruct solicitors
• 3.9.1.29 Mediation rooms
• 3.9.2 Property
• 3.9.2.1 Engagement Letter
• 3.9.2.2 Land Registry Portal
• 3.9.2.3 Help to Buy
• 3.9.2.4 Property searches
• 3.9.2.5 Climate Change
• 3.9.2.6 Stamp Duty Land Tax
• 3.9.2.7 Calculating SDLT
• 3.9.2.8 Payment
• 3.9.2.9 Land Transaction Tax (in relation to property transactions in Wales)
• 3.9.2.10 NHBC Conveyancing Portal
• 3.9.2.11 Contract races
• 3.9.2.12 Title and defect insurance
• 3.9.2.13 Undertakings given to the firm
• 3.9.2.14 Retentions
• 3.9.2.15 Property checklists
• 3.9.2.16 CQS
• 3.9.2.17 Model Commercial Lease
• 3.9.2.18 Property transactions involving an overseas company
• 3.9.3 Employment
• 3.9.3.1 Engagement Letter
• 3.9.3.2 Legal expenses insurance
• 3.9.3.3 Employment Lawyers Association (ELA)
• 3.9.3.4 Class actions and large-scale compromise agreement instructions
• 3.9.3.5 Unbundled employment law advice
• 3.9.3.6 Settlement Agreements - Right to payment and interest
• 3.9.3.7 Scope of our engagement in settlement agreements
• 3.9.3.8 Joint instructions funded by a third party
• 3.9.3.9 Acting as an investigator
• 3.9.3.10 MyHMCTS Portal for Employment Tribunals
• 3.9.4 Corporate
• 3.9.4.1 Corporate searches
• 3.9.4.2 Warranty and indemnity insurance
• 3.9.4.3 Laserform Hub
• 3.9.4.4 Address for service/document forwarding/process agent
• 3.9.4.5 Stamp duty on shares
• 3.9.4.6 Holding client property or documents
• 3.9.4.7 London Stock Exchange Admissions Portal
• 3.9.5 Family
• 3.9.5.2 Lexis+ UK (including the Red Book)
• 3.9.5.3 Divorce and family finance
• 3.9.5.4 Lenders
• 3.9.5.5 HM Courts and Tribunal Service Portal
• 3.9.5.6 Unbundled family law advice
• 3.9.5.7 Family law information sheets
• 3.9.5.8 Access to the Land Registry (HMLR)
• 3.9.5.1 Housing needs, mortgage capacity and Miris
• 3.9.6 IT and IP
• 3.9.6.1 Patents
• 3.9.6.2 Trademarks
• 3.9.6.3 UK Intellectual Property Office (UKIPO)
• 3.9.6.4 International Trademark Association (INTA) membership.
• 3.9.6.5 WEB TMS
• 3.9.7 Wills and probate
• 3.9.7.1 Oaths and witnessing
• 3.9.7.2 Being left a legacy in a will by a client
• 3.9.7.3 Managing another's money
• 3.9.8 Tax
• 3.9.8.1 HMRC Self-Assessment for Agents Online Service
• 3.9.9 Insurance
• 3.9.9.1 Acting for insurers and insureds
• 3.10 Social events
• 3.11 Benefits
• 3.11.1 Legal advice
• 3.11.2 Recruitment bonuses and incentives
• 3.11.3 Work experience
• 3.12 Health and wellbeing
• 4.0 Part Four - Compliance and Regulation
• 4.1 Financial crime, including money laundering
• 4.1.1 Introduction
• 4.1.2 Risk assessing the firm
• 4.1.3 Reporting (UK)
• 4.1.4 Reporting (Isle of Man)
• 4.1.5 Client due diligence
• 4.1.6 Certification and third-party reliance on our client due diligence
• 4.1.7 Certified copies
• 4.1.8 Other points to note
• 4.1.9 Grace period
• 4.1.10 Client/Matter risk assessment
• 4.1.11 Enhanced due diligence
• 4.1.12 Source of Funds and Source of Wealth assessment
• 4.1.12.1 Source of Funds
• 4.1.12.2 Source of funds where virtual assets and cryptocurrencies are involved
• 4.1.12.3 Source of funds for matters with Chinese nexus
• 4.1.12.4 Source of wealth
• 4.1.13 Ongoing monitoring
• 4.1.14 Training
• 4.1.15 Sanctions
• 4.2 Conflicts
• 4.2.1 Conflict checks
• 4.2.2 Conflicts explained
• 4.2.3 Client conflicts
• 4.2.4 Information Conflicts
• 4.2.5 Own Interest Conflicts
• 4.2.6 Conflicts clearance
• 4.2.6.1 Clearing true Own Interests Conflicts
• 4.2.6.2 Clearing commercial conflicts
• 4.2.6.3 The clearance process
• 4.3 Solicitors' undertakings
• 4.3.1 The obligations of Central Office
• 4.3.2 Guidelines for undertakings
• 4.3.3 Hints & tips for drafting and amending undertakings
• 4.3.4 Routine and bespoke undertakings
• 4.3.5 Undertaking templates
• 4.3.6 Topping up or increasing undertakings
• 4.3.7 Transferring undertakings between matters for the same client
• 4.4 Firm regulatory requirements
• 4.4.1 Professional indemnity insurance
• 4.4.2 Claims and complaints against Keystone
• 4.4.2.1 Claims
• 4.4.2.2 Complaints and SRA reports about you/the firm
• 4.4.3 Claims and complaints against other firms and those in a position of responsibility
• 4.4.4 Tips to pre-empt complaints
• 4.4.5 Tips to deal with complaints
• 4.4.6 Clients ignoring your advice
• 4.4.7 Last-minute instructions from clients
• 4.4.8 Ceasing to act
• 4.4.9 Insolvency of clients
• 4.4.10 Third-party client supporters
• 4.4.11 Providing investment or financial advice to clients
• 4.4.11.1 Arranging insurance for clients
• 4.4.11.2 What are Insurance Distribution Activities?
• 4.4.11.3 Insurance Product Information Document (IPID)
• 4.4.12 Diversity and inclusion
• 4.4.13 Modern slavery and forced labour
• 4.4.14 Practising certificates
• 4.4.15 Referrals
• 4.4.16 Listed status requirements
• 4.4.17 Keystone CPD and Continuing Competence
• 4.4.17.1 On the job
• 4.4.17.2 In-house provision
• 4.4.17.3 External CPD providers
• 4.4.17.4 For Legal
• 4.4.17.5 BPP Business School
• 4.4.17.6 MBL seminars
• 4.4.17.7 Duty to provide a competent service and professional negligence
• 4.5 UK GDPR
• 4.5.1 Application of UK GDPR
• 4.5.2 Making sure Keystone's processing is lawful
• 4.5.3 Data subject rights
• 4.5.4 How to comply with UK GDPR
• 4.5.5 Deletion of data
• 4.5.6 DSARs, rectification requests and deletion requests
• 4.5.7 Keystone as data processor
• 4.6 Data security
• 4.6.1 Your office
• 4.6.2 Hard copies and USBs
• 4.6.3 Working in public spaces
• 4.6.4 Two factor authentication
• 4.7 Security incident/breach reporting
• 4.8 Supervision and file reviews
• 4.9 Specific SRA duties for litigators
• 4.9.1 Your duties to the court
• 4.9.1.1 Duty not to take unfair advantage
• 4.9.1.2 Duty not to mislead or attempt to mislead
• 4.9.1.3 Duty only to make representations which are properly arguable
• 4.9.1.4 Contempt of court
• 4.9.2 Litigants in person
• 4.9.3 Wasted costs orders
• 4.9.4 Working with colleagues
• 4.10 Reporting and Whistleblowing
• 4.10.1 Reporting generally
• 4.10.2 Reporting others
• 4.10.3 Self-Reporting under the SRA Rules
• 4.11 Bribery and national security
• 4.11.1 Bribery
• 4.11.2 National Security and Investments Act
• 4.12 Mortgage and impersonation fraud
• 4.13 Legal opinions
• 4.13.2 Foreign legal opinions
• 4.14 Third-party reliance
• 4.15 Writing templates for client
• 4.16 Signing on behalf of the client
• 4.17 Assigning the benefit of a contract
• 4.18 Non-disclosure agreements (NDAs) and confidentiality undertakings
• 4.19 Giving a reference
• 4.20 Taking on other roles
• 4.20.1 Points that apply when seeking to work in any other business
• 4.20.2 Points that apply specifically when seeking to work at another law firm
• 4.20.3 Becoming a non-executive director (NED), going to work in-house and other engagements
• 4.20.4 Instructing Keystone
• 4.20.5 Acting as a solicitor outside Keystone in your personal capacity
• 4.20.6 Commercial matters when working outside Keystone
• 4.21 Changes to your Pod
• 4.21.1 Exiting arrangements
• 4.22 Isle of Man jurisdictional issues
• 4.23 Further policies
• 5.0 GLOSSARY