The clearance process

Where the Clients Team identified a conflict that needs to be cleared, the clearance process will usually follow these steps:

• Conflict search reveals an indicated conflict potentially capable of resolution.

MLRO identifies that further information is required or that colleagues need to be consulted.

• The Clients Team contacts the colleague dealing with the prospective matter (Lawyer A) for further details.
• The Clients Team contacts the colleague dealing with the existing matter (Lawyer B) for further details.
• If the conflict is capable of resolution, the Clients Team will provide guidance, which may include asking (separately!) Lawyers A and B to secure permission for the identity of the prospective and current client to be disclosed.
• In some cases we won't be able to act. In other cases we will. If so, we may decide we need client consent or to provide advance notice to the client as a matter of courtesy.

It is very important that you must not contact the colleague you believe to be on the other side of the conflict. The Clients Team will resolve the conflict and you must not take matters into your own hands.

We usually find that clients are happy for the prospective matter to be accepted, but clients may need to be reassured that their confidentiality and their ability to instruct the firm in future will not be affected. Conflict clearances are processed during office hours. We know that they can be urgent and we do prioritise conflict checks over other aspects of client set up. Where we need to speak to one or more lawyers as part of the conflict check, we will do so as quickly as we can. We ask that all colleagues respond to emails and calls about conflict checks as quickly as possible.

Once we have all the information we need, the Clients Team objectively assess the impact of accepting the prospective matter. The final decision rests with the Clients Team, though we go to great lengths to respect business relationships and to act fairly.

If the matter is very urgent, then we recommend you call the MLRO or the Director of Operations and Compliance immediately after you submit the conflict check. They can ensure the check is being actioned immediately. If a conflict check is needed out of hours, then you should call either of them on their mobiles. You cannot start acting without a clear conflict search.

The above is summarised in a format for external consumption that can be sent to third parties if needs be in our Conflict Of Interest Policy.