Checklists

A flowchart setting out the stages when making or responding to arbitration claims in the English courts. For more detailed guidance, please see Practice note, Arbitration claims: applications to the English court.

A checklist summarising the steps which must be taken to challenge an award on the grounds of serious irregularity pursuant to section 68 of the Arbitration Act 1996

This table summarises the statutory powers of the court in relation to arbitration, providing links to more detailed discussions. Please click here to view a PDF of the table.

A checklist summarising the steps which must be taken to challenge an award on the grounds of serious irregularity pursuant to section 68 of the Arbitration Act 1996

This table summarises the statutory powers of the court in relation to arbitration, providing links to more detailed discussions. Please click here to view a PDF of the table.

A checklist summarising the main points to consider when drafting arbitration agreements. A poorly drafted arbitration provision can give rise to expensive and time-consuming satellite litigation, jeopardise your chances of successfully enforcing the award and bind you to expensive procedures or rules with which you are unhappy. For more detailed guidance on drafting arbitration agreements, see Practice notes, Drafting international arbitration agreements: an overview and Hybrid, multi-tiered and carve-out dispute resolution clauses.

A checklist summarising the steps which must be taken to challenge an award on the grounds of serious irregularity pursuant to section 68 of the Arbitration Act 1996

A flowchart setting out the steps for enforcing commercial arbitration awards in the English courts.

A comparative table on commencing arbitration proceedings under the UNCITRAL, LCIA, ICC, ICDR and SCC Arbitration Rules.

A comparative table on evidence under the LCIA, ICC, ICDR, SCC and UNCITRAL arbitration rules.

A flowchart showing all the stages of a CIETAC arbitration, based on the CIETAC Arbitration Rules 2005. For more detailed guidance, see Practice note, A guide to the CIETAC Arbitration Rules.

A comparative table on document production under the LCIA, ICC, ICDR, SCC and UNCITRAL arbitration rules.

A flowchart showing all the stages of a Hong Kong International Arbitration Centre (HKIAC) arbitration, based on the HKIAC Administered Arbitration Rules, 1 September 2008.

A flowchart showing all the stages of an ICC arbitration (2012 Rules). For a more in-depth look at the procedure in an ICC arbitration (2012 Rules), please see ICC arbitration (2012 Rules): a step-by-step guide.

A flowchart showing all the stages of an ICSID arbitration. For a more in-depth look at the procedure in an ICSID arbitration, please see ICSID arbitration: a step-by-step guide.

A flowchart showing all the stages of an LCIA arbitration. For a more in-depth look at the procedure of an LCIA arbitration, please see LCIA arbitration: a step-by-step guide.

A flowchart showing all the stages of an UNCITRAL arbitration, based on the UNCITRAL Arbitration Rules 2010. For more detailed guidance, see Practice note, Arbitrating under the UNCITRAL Rules 2010.

A flowchart showing all the stages of an ICSID arbitration. For a more in-depth look at the procedure in an ICSID arbitration, please see ICSID arbitration: a step-by-step guide.

A flowchart showing all the stages of an UNCITRAL arbitration, based on the UNCITRAL Arbitration Rules 2010. For more detailed guidance, see Practice note, Arbitrating under the UNCITRAL Rules 2010.

A checklist of the main issues to be considered when drafting a cross-border advertising agreement.

A checklist of the main issues to be considered when drafting a sponsorship agreement.This checklist  is based on a PLC Cross-border International Checklist on this subject.

This checklist provides businesses with practical tips to help them protect, use and exploit any brands they own. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

This checklist sets out the different types of sales promotions that a business can use to promote its goods or services. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

A checklist of the main issues to be considered when appointing a sales or marketing agent and drafting an agency agreement.

A checklist of the main issues to be considered when appointing a licensee of know-how and drafting a Know-how licence and technical assistance agreement.

A checklist of the main issues to consider when drafting, reviewing and advising on consumer terms of business. For a full discussion of these issues, see Practice note, Consumer contracts. This checklist is a guide only and is not a definitive list of all laws and regulations with which a trader has to comply. It also does not deal with industry specific regulation, such as financial services or consumer credit. For information about financial services contracts, see Checklist, Unfair contract terms undertakings.

A checklist of points to address when drafting a consultancy agreement where an individual's services are provided through a personal service (or loan-out) company which is controlled by the individual (for example, Standard document, Consultancy agreement via a service company).

A checklist of key questions that should be considered before seconding an employee to a third party.

A table summarising the statutory employment rights for which there is no qualifying period of service.

A checklist of the matters which may be contained in a franchise operations manual.

A checklist of the main questions concerning foreign laws to which answers should be obtained before establishing an international franchise network.

This table provides in-house lawyers with information on significant forthcoming and recently closed consultations.  

This checklist outlines the new offences introduced by the Bribery Act 2010 and the penalties for committing them. It also highlights practical steps that businesses can take to help avoid breaching the legislation. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

A table showing the principal limitation time periods for different causes of action, as set out in the Limitation Act 1980.

A checklist of issues concerning third party rights, to consider when drafting contracts.  Includes issues under the Contracts (Rights of Third Parties) Act 1999.

A checklist for local authorities to use when dealing with TUPE transfers during a procurement process.

A checklist setting out the thresholds currently in force in the UK for the EU public procurement regime. The checklist includes details of the applicable procurement thresholds under the following regulations: Public Contracts Regulations 2006 (SI 2006/5). Utilities Contracts Regulations 2006 (SI 2006/6). Defence and Security Public Contracts Regulations 2011 (SI 2011/1848).

A checklist setting out some key questions that will assist public sector lawyers advising public authorities and organisations on how to: Meet the government's transparency requirements. Prepare for the next stage in the development of the public sector transparency agenda. This checklist forms part of Practice note, Public sector transparency programme and future transparency developments.

A checklist on the process for and issues arising from varying public contracts

A checklist of the main issues to be considered when drafting standard terms and conditions of sale or purchase in supply contracts.

A checklist of the main issues suppliers should consider when drafting or revising standard terms and conditions of sale or purchase in supply contracts.  Specific buyer considerations are also highlighted.

A non-exhaustive checklist of issues to consider when reviewing, drafting and negotiating a transitional services agreement.

Issues for a hirer (or client) of agency workers to consider when negotiating an employment business' standard terms.

This checklist sets out the duties a business owes to members of the public when they are provided with goods, services or facilities. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

A checklist for English lawyers obtaining a foreign legal opinion in connection with a secured loan where the party providing the security is incorporated outside of England and Wales.

A diagram showing a typical forfaiting structure. For further information on forfaiting, see Practice note, Forfaiting.

A diagram showing a typical murabaha structure. For more on murabaha and an overview of Islamic finance, see Practice note, Islamic finance: UK law overview.  

A checklist for English lawyers instructing foreign lawyers in connection with a secured loan where the security is located outside England and Wales and/or where the party providing the security is established outside of England and Wales

A checklist of key legal issues for taking security over assets by way of a charge.

The proper management of global competition issues is vital if the process of making merger notifications in a number of different countries is to be completed effectively and within the relevant timetable. This checklist sets out key strategic considerations which should be borne in mind in trying to acheive this.

This checklist summarises the key legal issues that a business needs to consider when dealing with competitors. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

A checklist of items to consider when reviewing a company's competition compliance as part of a legal audit

Any exchange of information between two or more players with substantial shares of a concentrated market should be carefully considered as the risk of infringement of Article 101(1) of the Treaty on the Functioning of the European Union (TFEU) (formerly Article 81(1) of the EC Treaty) is high. The risk of infringement will be reduced if the guidelines below are followed, although no one of these factors is decisive.

A checklist of practical considerations when a company is subject to an investigation at its premises by the OFT or UK sectoral regulators. Note that following the entry into force of the Enterprise Act 2002, due to take place in summer 2003, investigations may also cover the new criminal offence in relation to hardcore cartels. This checklist is not intended to deal with the issues that may arise in the context of such an investigation.

A checklist of items to consider when reviewing a company's competition compliance as part of a legal audit

A checklist of practical considerations when considering making a complaint to the European Commission about an alleged infringement of Article 101 or 102 of the Treaty on the Functioning of the European Union (TFEU) (formerly Article 81 or 82 of the EC Treaty). See also the Practice note Complaints under EU competition law.

A checklist of practical tips for a company when faced with, or potentially faced wiith, a complaint to the European Commission, or a national competition authority under Article 101 and/or 102 of the Treaty on the Functioning of the European Union (TFEU) (formerly Article 81 and/or 82 of the EC Treaty).

A checklist summarising the practicalities of the main hearing of a case before the Competition Appeal Tribunal (CAT).

A checklist setting out the documents that should be annexed to a notice of appeal under the Competition Act 1998 or an application for the review of a merger or market investigation decision under the Enterprise Act 2002 submitted to the Competition Appeal Tribunal (CAT).

A checklist summarising the formal and substantive requirements for documents to be filed with the Competition Appeal Tribunal (CAT) in a Competition Act 1998 appeal, or a review of a market investigation or merger decision under the Enterprise Act 2002.

A checklist of the factors that the Office of Fair Trading will take into account when setting a fine for an infringement of the Competition Act 1998.

A checklist summarising the practicalities of the main hearing of a case before the Competition Appeal Tribunal (CAT).

A checklist of the key practical considerations when completing the Form CO and submitting a merger notification to the European Commission.

A checklist of key practical considerations for planning the long-term strategy for a merger notification to the European Commission's Competition Directorate-General (DG Competition) .

A checklist of key practical considerations for competition practitioners in relation to the contractual and other documents in a corporate transaction. See also Checklist: Corporate transactions and merger control.

The proper management of global competition issues is vital if the process of making merger notifications in a number of different countries is to be completed effectively and within the relevant timetable. This checklist sets out key strategic considerations which should be borne in mind in trying to acheive this.

A checklist setting out the steps to be taken when applying for confidential treatment of information filed before the Competition Appeal Tribunal (CAT).

A checklist of some practical points to bear in mind when making presentations in OFT hearings.

Checklists (in the form of tables) setting out the main procedural steps and time limits in an appeal against an Office of Fair Trading (OFT) or sectoral regulator decision under section 46 or 47 of the Competition Act 1998, or an application for the review of a merger or market reference decision of the OFT or Competition Commission under section 120 or 179 of the Enterprise Act 2002 to the Competition Appeal Tribunal (CAT).

A checklist summarising the market-sharing restrictions which the European Commission has held to be in breach of Article 101(1) of the Treaty on the Functioning of the European Union (TFEU) (formerly Article 81(1) of the EC Treaty).

A checklist of the key elements of the technology transfer block exemption (Regulation 772/2004).

A checklist summarising the factors which the European Commission has traditionally taken into account in assessing the effect of a joint venture on competition.

A checklist summarising the points to consider when assessing whether a firm has infringed the Chapter II prohibition by engaging in 'predatory pricing'. See also the Practice note, Transactions and practices: UK Pricing.

A checklist of factors which indicate whether a joint venture has as its object or effect the co-ordination of the parent companies' competitive behaviour for the purposes of an Article 101 assessment in accordance with Article 2(4) of the EU Merger Regulation.

A checklist of the main practical considerations for a competition law adviser to bear in mind during the course of a corporate transaction. This checklist is relevant whether a filing is to be made in the EU or in one or more national jurisidctions. See the Practice note, Corporate transactions and merger control: practical considerations.

A checklist of key practical considerations for competition practitioners in relation to the contractual and other documents in a corporate transaction. See also Checklist: Corporate transactions and merger control.

The proper management of global competition issues is vital if the process of making merger notifications in a number of different countries is to be completed effectively and within the relevant timetable. This checklist sets out key strategic considerations which should be borne in mind in trying to acheive this.

A checklist of factors to consider when assessing whether the turnover thresholds of the EU Merger Regulation are satisfied.

A checklist summarising the points to consider when assessing whether a firm has infringed Article 102 of the Treaty on the Functioning of the European Union (TFEU) (formerly Article 82 of the EC Treaty) by engaging in "predatory pricing". See also the Practice note, Article 102.

A checklist setting out the thresholds currently in force in the UK for the EU public procurement regime. The checklist includes details of the applicable procurement thresholds under the following regulations: Public Contracts Regulations 2006 (SI 2006/5). Utilities Contracts Regulations 2006 (SI 2006/6). Defence and Security Public Contracts Regulations 2011 (SI 2011/1848).

A checklist setting out some key questions that will assist public sector lawyers advising public authorities and organisations on how to: Meet the government's transparency requirements. Prepare for the next stage in the development of the public sector transparency agenda. This checklist forms part of Practice note, Public sector transparency programme and future transparency developments.

A checklist on the process for and issues arising from varying public contracts

A checklist summarising the market-sharing restrictions which the European Commission has held to be in breach of Article 101(1) of the Treaty on the Functioning of the European Union (TFEU) (formerly Article 81(1) of the EC Treaty).

A checklist of the matters which may be contained in a franchise operations manual.

A checklist summarising the application of Article 101 of the Treaty on the Functioning of the European Union (TFEU) (formerly Article 81 of the EC Treaty) to types of restrictions that may arise in copyright licences.

A summary of the general rules and methodology for the evaluation of vertical restraints in agreements (as set out in the Commission Guidelines on vertical restraints (OJ 2010 C130/1)).

This checklist provides a non-exhaustive list of examples of the kind of activities which, if undertaken by an agent, can cause an agency agreement to fall within the scope of Article 101(1) of the Treaty on the Functioning of the European Union. These activities all result in the agent incurring risk or cost and may therefore lead to the assumption that the agent is an independent dealer and not a true agent. The determining factor in assessing whether principal and agent are independent of each other is whether the agent bears a significant financial or commercial risk in relation to his agency activities.

A checklist for carrying out due diligence on a construction document or a suite of construction documents such as a building contract, a suite of professional appointments or a suite of collateral warranties or third party rights. The checklist helps to identify matters that could be highlighted in a report on the construction aspects of a proposed sale, lease or financing transaction, or which will form part of a report on title. While the checklist is intended for use by those familiar with construction law, it includes links to materials considering some of the issues raised in more detail.

A table showing the principal limitation time periods for different causes of action, as set out in the Limitation Act 1980.

A checklist of issues concerning third party rights, to consider when drafting contracts.  Includes issues under the Contracts (Rights of Third Parties) Act 1999.

A checklist for establishing whether an employer has the right to terminate a building contractor's employment on grounds of insolvency.

A checklist for an employer of signs that a building contractor is about to go insolvent.

A checklist of measures a building contractor may take to protect itself against employer insolvency.

Flowcharts summarising the two alternative routes by which a company may go into administration under the Insolvency Act 1986.

A list of the procedures to be followed for a UK insurance firm wishing to provide services cross-border into another EEA state. Please note: this checklist is currently in the process of being reviewed and updated.

A list of the procedural steps to be taken by EEA firms wishing to provide services cross-border into the UK without the establishment of a UK branch. Please note: this practice note is currently in the process of being reviewed and updated.

A list of the applicable procedures for approval of changes relating to UK insurance firms operating in the EEA through a branch or through provision of services cross-border. Please note: this checklist is currently in the process of being reviewed and updated.

A flowchart setting out the main questions to be asked in order to determine whether a person is carrying on the regulated activity of assisting in the administration and performance of a contract of insurance within the scope of the Financial Services and Markets Act 2000 (FSMA). For further details on assisting in the administration and performance of a contract of insurance, see Practice note, assisting in the administration and performance of a contract of insurance.

A checklist for solicitors whose client's claim may be insured. It includes the key issues to be aware of, including the need to check the policy terms, dealing with the insurer and recovery of costs.

A table comparing the payment mechanism under Part II of the Housing Grants, Construction and Regeneration Act 1996 (Construction Act 1996) with the amendments in Part 8 of the Local Democracy, Economic Development and Construction Act 2009 (LDEDC Act 2009).

A set of flowcharts setting out the compulsory stages of payment mechanisms to be included in a construction contract, considering payment under Part II of the Housing Grants, Construction and Regeneration Act 1996 (Construction Act 1996) and payment under the Scheme for Construction Contracts (England and Wales) Regulations 1998. The flowcharts refer to construction contracts entered into both before and after the effective date of the changes made under the Local Deomocracy, Economic Development and Construction Act 2009 (LDEDC Act 2009).

This checklist takes the form of a editable PowerPoint presentation, intended to be used in conjunction with other PLC Construction resources (see Construction Act 1996 changes toolkit), for training an in-house or private practice team, or a client, on the changes to Part II of the Housing Grants, Construction and Regeneration Act 1996 (Construction Act 1996) under Part 8 of the Local Democracy, Economic Development and Construction Act 2009 (LDEDC 2009) and the changes to the Scheme for Construction Contracts (England and Wales) Regulations 1998 (SI 1998/649) (Scheme for Construction Contracts 1998), and its Scottish equivalent. Download the PowerPoint presentation here.

This checklist deals with the issues to be considered in a share purchase acquisition. It covers taxation issues on the structuring of the transaction; pre-acquisition agreements; the share purchase agreement and other relevant issues, including completion accounts, competition, employment, intellectual property, information technology, environmental issues, pensions, real property, insurance and a list of ancillary documents.

A list of the requirements applying to the content of documents issued by the bidder and the target during the course of a takeover bid.

A checklist of the main issues to consider when drawing up heads of terms.

A summary timetable of the compulsory acquisition procedure under the Companies Act 2006, which applies to offers that fall within the definition of a "takeover offer" under section 974 of the Companies Act 2006. For further information, see Practice note, Buying out minority shareholders.

The checklist focuses on legal due diligence undertaken in connection with an asset purchase (business and financial due diligence must also be undertaken). Using the checklist, the buyer and its advisers should compile a series of questions to be put to the seller - usually called a memorandum of information requirements or due diligence questionnaire. The key to successful due diligence is proper analysis of the responses to these questions and appropriate action.

Flowcharts showing how entrepreneurs' relief applies to share-for-loan note exchanges occurring before 6 April 2008, from 6 April 2008 to 22 June 2010, and from 23 June 2010.

A checklist of questions to ask to determine the tax treatment of a cross-border asset sale.

Checklist of Takeover Code (Code) requirements to be contained in the announcement of a firm intention to make an offer under Rule 2.7 of the Code where the offer is recommended by the target board. The checklist is for use by advisers to the bidder and target to assist them in checking compliance with the Code. In cases of doubt, the Takeover Panel (Panel) should always be consulted. The checklist includes the requirements for both cash offers and securities exchange offers, and may need to be amended to reflect the consideration being offered by the bidder. For examples of recent Rule 2.7 offer announcements, see What's Market, Public M&A deals: firm offers.  

The post-completion checklist covers all matters following completion of an asset purchase, such as stamp duty, stamp duty land tax and Companies Act filings, post-completion audits, customers and suppliers, completion accounts and press announcements.

A checklist of issues to consider in order to prepare the first draft of the tax covenant and tax warranties.

This checklist is a list of common tax issues that may arise on a share sale that the seller may wish to consider. This checklist is in three sections - issues that may arise whether the seller is a company or an individual, issues that you may need to consider only when the seller is an individual, and issues that may arise only when the seller is a corporate entity.

A checklist that looks at the issues that a potential buyer of a software business should consider when undertaking due diligence to ascertain whether open-source software (OSS) has been used by the seller in the target business or by the target.

A checklist of the main issues to be addressed by a bidder considering a takeover bid, including preparatory steps, bid planning, due diligence, how to structure and finance the bid as well as steps to be taken after announcing the offer and when preparing the offer document.

A flowchart that shows when the Panel on Takeovers and Mergers has jurisdiction in relation to a takeover or other transaction following the implementation of the Directive on Takeover Bids (2004\25\EC) in the UK on 20 May 2006. For further information, see Practice note, The City Code on Takeovers and Mergers.

A checklist on adjourning general meetings for use by company secretaries and others briefing the chairman of a general meeting.

This note sets out a checklist of those provisions of the Companies Act 2006 (the 2006 Act) which can be included, excluded or modified by a company's articles of association, where such company is registered after the final implementation of the 2006 Act.

A list of the matters to be taken into account when carrying out an on market share buyback.

A checklist of the exemptions from publication of full audited acounts and reports applicable to small or medium-sized companies and groups under the Companies Act 2006. This checklist covers the law applicable to financial periods beginning on or after 6 April 2008.

An outline of the time periods for filing, distribution and website publication of a company's annual accounts and reports in accordance with the Companies Act 2006, including the penalties for late filing. This checklist is written on the basis of the law applicable to financial periods beginning on or after 6 April 2008.

This checklist has been prepared for use in respect of annual reports and accounts of quoted companies for financial years beginning on or after 6 April 2008 and, therefore, reflects the content requirements under the Companies Act 2006. The checklist also gives links to relevant PLC materials.

A checklist of the exemptions from publication of full audited acounts and reports applicable to dormant companies under the Companies Act 2006. This checklist covers the law applicable to financial periods beginning on or after 6 April 2008.

A checklist for choosing a tax-efficient demerger structure.

A checklist of the principal matters affecting articles of association which private companies limited by shares should consider before final implementation of the Companies Act 2006 on 1 October 2009. The drafting notes to each question provide background information and, where appropriate, links to more detailed PLC Corporate materials.

A checklist on forming a company under the Companies Act 2006.

A checklist on shareholder debate and questions for use by company secretaries and others briefing the chairman of a general meeting.

A resource tracking the progress of the Equality Act 2010, with links to relevant parliamentary stages, consultations, PLC updates and commentary.

A flowchart showing an overview of schemes of arrangement. For a more detailed overview, see Practice note, Schemes of arrangement and companies in financial difficulty.

Checklist of information needed before drafting a letter of appointment for a non-executive director or a non-executive chairman.

A checklist on the information to be included in a notice of general meeting for use by company secretaries and others in the secretariat team.

A checklist setting out the provisions that govern the registration of charges created by overseas companies on or after 1 October 2009 (but before 1 October 2011).  These provisions are contained in the Overseas Companies (Execution of Documents and Registration of Charges) Regulations 2009 (SI 2009/1917) (Regulations). The regime for registration of charges created by overseas companies was changed by the Overseas Companies (Execution of Documents and Registration of Charges) (Amendment) Regulations 2011 (SI 2011/2194) (2011 OC Regulations) which came into force on 1 October 2011.  The 2011 OC Regulations mean that a charge created by an overseas company on or after 1 October 2011 will not be registrable at Companies House. For more information, see Practice note, Registration of charges created by companies and limited liability partnerships on or after 1 October 2009: Do charges created by overseas companies need to be registered?.

A checklist on the post meeting formalties for use by company secretaries and others in the secretariat team.

This checklist sets out the factors that need to be considered when incorporating a private limited company. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

A checklist on matters to consider when preparing for a general meeting for use by company secretaries and others in the secretariat team.

This checklist summarises the procedure for a private limited company to re-register as an unlimited company under the Companies Act 2006.

This checklist summarises the procedure for a public limited company to re-register as a private limited company under the Companies Act 2006.

This checklist summarises the new procedure for a limited company to redenominate its share capital under the Companies Act 2006 on or after 1 October 2009.  

This checklist highlights the implications for members of holding certain percentages of the issued share capital of a company limited by shares. The note does not cover the rights which a shareholder has simply by virtue of owning a share.

A checklist setting out a broad description of the UK provisions under which a person may be secondarily liable for tax that is payable primarily by someone else or under which a person may be taxable on profits or gains arising to another person. It discusses, among other things, groups of companies, residence and migration, changes in ownership, chargeable gains and stamp duties.

A checklist of corporate governance disclosures under the UK Corporate Governance Code (effective for accounting periods beginning on or after 29 June 2010) and associated disclosures under the Listing Rules and Disclosure and Transparency Rules. The checklist also gives links to relevant PLC materials.

A checklist for use when a company wants to apply to be struck off the register and dissolved under section 1003 of the Companies Act 2006. Part 31 (Dissolution and restoration to the register) (sections 1000-1034) of the Companies Act 2006 will come into force on 1 October 2009.

A checklist comparing the statutory liability for false or misleading statements and omissions under section 463 of the Companies Act 2006 and section 90A of the Financial Services and Markets Act 2000 (as amended by the Financial Services and Markets Act 2000 (Liability of Issuers) Regulations 2010 (SI 2010/1192)).

A flowchart of the questions to consider in determining whether information is "inside information" for the purposes of the Disclosure Rules.   For details of the obligations to disclosure inside information under the Disclosure Rules, see Practice note, Disclosure Rules: disclosure and control of inside information.

Checklist showing a brief overview of the periodic financial reporting rules in the Financial Services Authority's (FSA) Disclosure and Transparency Rules sourcebook as a result of implementation of the EU Transparency Directive.  The first column of the table summarises the  requirements for companies with transferable securities admitted to trading on an EEA regulated market and whose home state is the UK. The second lists the additional requirements for companies with securities admitted to the Official List maintained by the FSA which are contained in the Listing Rules. The third column refers to comparable provisions in the AIM Rules that apply to companies with shares admitted to AIM. The reporting regime outined is for its financial year starting on or after 20 January 2007. For further details on the implications of the Transparency Directive for UK companies see Practice note, Implications of Transparency Directive for publicly traded companies  and for details on financial reporting generally, see Practice note, Company accounts and reports: overview.

A checklist of the exemptions from publication of full audited acounts and reports applicable to small or medium-sized companies and groups under the Companies Act 2006. This checklist covers the law applicable to financial periods beginning on or after 6 April 2008.

An outline of the time periods for filing, distribution and website publication of a company's annual accounts and reports in accordance with the Companies Act 2006, including the penalties for late filing. This checklist is written on the basis of the law applicable to financial periods beginning on or after 6 April 2008.

This checklist has been prepared for use in respect of annual reports and accounts of quoted companies for financial years beginning on or after 6 April 2008 and, therefore, reflects the content requirements under the Companies Act 2006. The checklist also gives links to relevant PLC materials.

A checklist of the exemptions from publication of full audited acounts and reports applicable to dormant companies under the Companies Act 2006. This checklist covers the law applicable to financial periods beginning on or after 6 April 2008.

Quick reference tables covering key provisions of the Companies Act 2006 relating to accounts and reports which came into force on 6 April 2008 and apply to financial years beginning on or after 6 April 2008. For further information on the Companies Act 2006 including background, timeline and practice notes see Practice note, Companies Act 2006: materials. This quick guide covers the law applicable to financial periods beginning on or after 6 April 2008.

Checklist showing a brief overview of the periodic financial reporting rules in the Financial Services Authority's (FSA) Disclosure and Transparency Rules sourcebook as a result of implementation of the EU Transparency Directive.  The first column of the table summarises the  requirements for companies with transferable securities admitted to trading on an EEA regulated market and whose home state is the UK. The second lists the additional requirements for companies with securities admitted to the Official List maintained by the FSA which are contained in the Listing Rules. The third column refers to comparable provisions in the AIM Rules that apply to companies with shares admitted to AIM. The reporting regime outined is for its financial year starting on or after 20 January 2007. For further details on the implications of the Transparency Directive for UK companies see Practice note, Implications of Transparency Directive for publicly traded companies  and for details on financial reporting generally, see Practice note, Company accounts and reports: overview.

A table showing the principal limitation time periods for different causes of action, as set out in the Limitation Act 1980.

A checklist of issues concerning third party rights, to consider when drafting contracts.  Includes issues under the Contracts (Rights of Third Parties) Act 1999.

Checklist for international joint ventures.

A checklist of the constitutional and other information that may be required in order to form the joint venture company (JVC).

A checklist of the exemptions from publication of full audited acounts and an auditor's report applicable to small or medium-sized LLPs and groups under the Companies Act 2006, as applied to LLPs with modifications for financial periods beginning on or after 1 October 2008. This checklist covers the law applicable to LLPs' financial periods beginning on or after 1 October 2008.

A checklist of the main questions to be answered when setting up a partnership

A checklist of the main issues to be addressed when considering adding a member to a limited liability partnership (LLP).

A checklist of issues to consider before drafting a set of articles of association for use in an early round of venture capital investment.

A sample due diligence checklist for use in conjunction with the acquisition of the target company or business by Newco in the context of a buyout. The following checklist gives an overview of the types of information required and questions to be asked as part of the due diligence process on a buyout. The focus is on the acquisition aspects of the transaction. It is intended for use by the buyer and its advisers to help them gain an understanding of the structural and operational features of the Target Group and to assist in identifying the matters relevant to the transactions contemplated. The list is not exhaustive and in most cases supplemental requests for information will be necessary. As with any due diligence exercise, it is important to settle from the outset the responsibilities of all the people involved: who will carry out due diligence, who will co-ordinate the exercise, responsibilities and reporting lines and so on. There should also be adequate communication between the due diligence team and those conducting the negotiations with the seller.

The equity term sheet sets out all the main aspects of the equity investment and serves as a useful checklist of the matters to be agreed between the management team and the external investors.Negotiation of the principal terms of the investment agreement, articles of association, loan note instruments and service agreements is often left to a late stage in the transaction. The equity term sheet serves as a useful checklist at an earlier stage and helps focus the minds of investors and managers on the commercial issues to be negotiated between them.

A checklist of questions to ask to determine the tax treatment of a cross-border share sale.

A checklist of the main issues to consider before setting up a "spin-out" company.

This checklist summarises the procedure for a private limited company to re-register as a public limited company under the Companies Act 2006.

A checklist setting out a broad description of the UK provisions under which a person may be secondarily liable for tax that is payable primarily by someone else or under which a person may be taxable on profits or gains arising to another person. It discusses, among other things, groups of companies, residence and migration, changes in ownership, chargeable gains and stamp duties.

A checklist identifying the key issues for either the referring or responding party on receipt of an adjudicator's decision.

A checklist of key considerations for the parties when appointing an adjudicator.The appointment of the adjudicator and the referral of the dispute to the adjudicator must be within seven days of the issue of the Notice of Adjudication. Therefore, it is important the adjudicator is appointed in strict compliance with the relevant contractual provisions or applicable adjudication procedure.

A checklist identifying the key considerations for the responding party when preparing its response.Generally, the responding party is entitled to serve a response to the referral notice within the timescales imposed by the applicable adjudication procedure. Often it is the only document served in response to the referring party's case. In addition to preparing the response, the responding party also has to consider whether to challenge the adjudicator's jurisdiction.

A flowchart setting out the stages of enforcement of an adjudicator's decision in the TCC.

A table comparing the payment mechanism under Part II of the Housing Grants, Construction and Regeneration Act 1996 (Construction Act 1996) with the amendments in Part 8 of the Local Democracy, Economic Development and Construction Act 2009 (LDEDC Act 2009).

A set of flowcharts setting out the compulsory stages of payment mechanisms to be included in a construction contract, considering payment under Part II of the Housing Grants, Construction and Regeneration Act 1996 (Construction Act 1996) and payment under the Scheme for Construction Contracts (England and Wales) Regulations 1998. The flowcharts refer to construction contracts entered into both before and after the effective date of the changes made under the Local Deomocracy, Economic Development and Construction Act 2009 (LDEDC Act 2009).

A checklist outlining the key stages of a mediation including the opening, exploration and settlement phases.

Please click here to view a comparative table of administrative and arbitrator fees in ICC, ICDR, SCC and LCIA arbitrations. The fees are calculated on the basis of a sole arbitrator.

This table contains details of venues from across the world that provide facilities for arbitration hearings.

A checklist summarising the steps which must be taken to challenge an award for lack of jurisdiction pursuant to section 67 of the Arbitration Act 1996

A checklist summarising the steps to be taken when appealing against an arbitration award pursuant to section 69 of the Arbitration Act 1996

A comparative table on commencing arbitration proceedings under the UNCITRAL, LCIA, ICC, ICDR and SCC Arbitration Rules.

A comparative table on document production under the LCIA, ICC, ICDR, SCC and UNCITRAL arbitration rules.

A flowchart setting out the steps for enforcing commercial arbitration awards in the English courts.

A flowchart showing all the stages of a Hong Kong International Arbitration Centre (HKIAC) arbitration, based on the HKIAC Administered Arbitration Rules, 1 September 2008.

A flowchart showing all the stages of an ICC arbitration (2012 Rules). For a more in-depth look at the procedure in an ICC arbitration (2012 Rules), please see ICC arbitration (2012 Rules): a step-by-step guide.

A flowchart showing all the stages of an ICSID arbitration. For a more in-depth look at the procedure in an ICSID arbitration, please see ICSID arbitration: a step-by-step guide.

A flowchart showing all the stages of an LCIA arbitration. For a more in-depth look at the procedure of an LCIA arbitration, please see LCIA arbitration: a step-by-step guide.

A flowchart showing all the stages of an arbitration conducted under the UNCITRAL Arbitration Rules (1976). For a more in-depth look at the procedure in an arbitration under the UNCITRAL Arbitration Rules (1976), please see Practice note, Arbitrating under the UNCITRAL Rules (1976): a step-by-step guide.

A table showing the principal limitation time periods for different causes of action, as set out in the Limitation Act 1980.

A checklist of issues concerning third party rights, to consider when drafting contracts.  Includes issues under the Contracts (Rights of Third Parties) Act 1999.

A checklist of time limits specified in the CPR for certain procedural steps to be undertaken.

A checklist of points to be aware of when preparing instructions for an expert.

This is a checklist of some of the key issues which ought to be considered whenever entering into a settlement agreement.

A checklist about how to extract more value from commercial contracts to improve your financial position in a downturn or to avoid being adversely affected by another party's financial difficulties.

A checklist showing the procedural stages for ordinary applications in the Commercial Court.

A checklist of the procedural steps for default judgment.

A checklist of matters which are frequently relied on in a defence to a claim in common law private nuisance. An MS Word version of this checklist is also available.

A checklist of matters which are frequently relied on in a defence to a claim for misrepresentation. An MS Word version of this checklist is also available.

A checklist of matters which are frequently relied on in a defence to a restitutionary claim for money had and received on the basis of a mistake or total failure of consideration or, alternatively, a claim for quantum meruit. An MS Word version of this checklist is also available.

A checklist of the procedural steps for detailed assessment.

A table cross-referencing provisions in Practice Direction (PD) 31B (disclosure of electronic documents) against provisions in the optional Electronic Documents Questionnaire appended to PD 31B.

A checklist of points for the solicitors acting for either the applicant or the respondent to take into account when a search order is being executed.

A summary of the procedure to follow when seeking to enforce a foreign judgment (from an EU member state) in England or Wales under Council Regulation (EC) 44/2001 on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters (Brussels Regulation).

A flowchart illustrating the procedural steps for how a judgment creditor obtains a third party debt order. A PDF version of this flowchart is also available.

A flowchart illustrating the procedural steps for how a judgment creditor obtains an order for sale having obtained a charging order.

This checklist addresses the issues which should usually be considered when drafting a claim in common law private nuisance. An MS Word version of this checklist is also available.

This checklist addresses the issues which should usually be considered when drafting a claim for misrepresentation. An MS Word version of this checklist is also available.

This checklist addresses the issues which should usually be considered when drafting a restitutionary claim for money had and received on the basis of a mistake or total failure of consideration or, alternatively, a claim for quantum meruit. An MS Word version of this checklist is also available.

A checklist for solicitors whose client's claim may be insured. It includes the key issues to be aware of, including the need to check the policy terms, dealing with the insurer and recovery of costs.

A checklist for claimants issuing a claim for permission to apply for judicial review.

A checklist outlining some of the key steps that companies can take to reduce the threat and impact of litigation.

A checklist of the main items to look for when considering a party wall surveyor's award issued under the Party Wall etc. Act 1996 (PWA 1996).

The Senior Courts Costs Office has held that an after the event (ATE) insurance premium of more than £9 million was recoverable in full from the defendants in the Trafigura litigation. The decision establishes that the principles governing the recoverability of ATE premiums apply regardless of the sums involved. This checklist explains what after the event insurance is and highlights its main advantages and disadvantages for a business. It is aimed at non-lawyers and is designed for practice development purposes only.

This checklist sets out the actions a business should take when a dispute or potential dispute arises. It applies to any dispute or incident (for example, a dispute with a trading partner or a prosecution by a regulatory body). This checklist is aimed at non-lawyers and is designed for practice development purposes only.

Preparing trial bundles requires meticulous planning and attention to detail. This checklist sets out points to consider when carrying out this task. 

A checklist on how to find supporting evidence when seeking to resolve an ambiguity in legislation.

A checklist of the procedural steps for setting aside default judgment.

A checklist of the procedural steps for striking out.

A checklist of the procedural steps for summary assessment.

The tax implications of a settlement may be of crucial importance and you will need to advise your client accordingly. This checklist is designed to prompt you to consider key issues in the heat of the negotiation. It should be read with Practice note, Tax treatment of damages.

A table showing differences between, and advantages and disadvantages of, various methods of enforcement.

A checklist giving guidance on court options when enforcing a money judgment.

A checklist of the matters which may be contained in a franchise operations manual.

A checklist of the main issues to be considered when appointing a sales or marketing agent and drafting an agency agreement.

A checklist of the main issues to be considered when appointing a distributor and drafting a distribution agreement.

A checklist setting out the thresholds currently in force in the UK for the EU public procurement regime. The checklist includes details of the applicable procurement thresholds under the following regulations: Public Contracts Regulations 2006 (SI 2006/5). Utilities Contracts Regulations 2006 (SI 2006/6). Defence and Security Public Contracts Regulations 2011 (SI 2011/1848).

A checklist setting out some key questions that will assist public sector lawyers advising public authorities and organisations on how to: Meet the government's transparency requirements. Prepare for the next stage in the development of the public sector transparency agenda. This checklist forms part of Practice note, Public sector transparency programme and future transparency developments.

A checklist on the process for and issues arising from varying public contracts

A checklist of the statutory claims that may be settled by a compromise agreement. 

Issues for a hirer (or client) of agency workers to consider when negotiating an employment business' standard terms.

A checklist of key questions that should be considered before seconding an employee to a third party.

A checklist of steps to consider when an employer proposes to make changes to its pension scheme.

A checklist of issues to consider when drawing up and negotiating a pre-existing or negotiated agreement under the Information and Consultation of Employees Regulations 2004, including key legal, negotiating and best practice issues.

A flowchart showing the steps that an employer must take on receipt of a valid request for an information and consultation agreement under the Information and Consultation of Employees Regulations 2004.

A checklist of information that will be needed, and the issues that should be considered, before drafting any contractual documentation relating to a secondment arrangement.

A checklist of the information that may be needed before drafting restrictive covenants in order to maximise the likelihood that they will be enforceable.

A checklist of the employment policies, procedures and forms which are commonly contained in a staff handbook, including links to those policies where they are found on PLC Employment.

This checklist highlights the various salary sacrifice arrangements that can be used by a business. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

A Checklist outlining steps an employer can take at the beginning of the employment relationship to avoid potential claims from former employers for theft of trade secrets and unfair competition, and to protect the new employer's confidential, proprietary, and trade secret information.

This checklist gives details of the main legislation governing employment law in England, Wales, Scotland and Northern Ireland.

A Chart describing key employment-based immigrant visa classifications. Information profiled includes eligibility criteria and procedures to obtain lawful immigrant status.

A Checklist of key issues to help employers comply with Labor Condition Application (LCA) obligations. Employers must obtain LCAs to sponsor workers for H-1B nonimmigrant visa status. To obtain an LCA certification, employers must make attestations about wages and working conditions for foreign and US workers, and must maintain a Public Access File (PAF).

A checklist comparing the statutory liability for false or misleading statements and omissions under section 463 of the Companies Act 2006 and section 90A of the Financial Services and Markets Act 2000 (as amended by the Financial Services and Markets Act 2000 (Liability of Issuers) Regulations 2010 (SI 2010/1192)).

Checklist of information needed before drafting a letter of appointment for a non-executive director or a non-executive chairman.

A checklist setting out the debts owed to employees by an insolvent employer that are payable out of the National Insurance Fund if the relevant conditions are met.

A Checklist of best practices for employee discipline, including for poor performance, inappropriate conduct, policy violation and unlawful activity, as well as for creating related policies and procedures.

Before 6 April 2009, Schedules 3 and 4 to the Employment Act 2002 specified the types of claim in which a tribunal had to consider whether the parties had followed one of the statutory dispute resolution procedures (either a grievance procedure or a dismissal and disciplinary procedure). A surprising number of claims were not covered. This table gives a comprehensive list of possible tribunal claims and indicates whether they were covered by the procedures. The statutory dispute resolution procedures were repealed by the Employment Act 2008 from 6 April 2009, subject to a number of transitional provisions. They were replaced by a new regime based on a new Acas Code of Practice on Disciplinary and Grievance Procedures.

A brief summary of the law including a flow chart to determine whether the Employment Act 2002 or the Employment Act 2008 applies to a claim about dismissal or a disciplinary procedure on or after 6 April 2009.

A summary of the provisions of the Employment Act 2009, with links to PLC updates covering related parliamentary debates and further commentary.

A Checklist to help employers minimize the legal risks presented by employer-sponsored holiday parties. This checklist addresses sexual harassment prevention, avoiding harms created by alcohol consumption, workers' compensation liability, and wage and hour claims. This resource is jurisdiction-neutral. For information on state law requirements, see the State Q&A Tools under Related Content to the right.

A flow chart summarising the principles of unfair dismissal and the adjustments that can be made to compensation.

A Checklist of the steps to take when implementing an independent, neutral internal resolution program for handling employee disputes and workplace conflicts at a company. A peer review panel or peer advisory board can help a company constructively manage and promptly resolve employee grievances.

A checklist of tribunal claims indicating whether they are covered by the regime under section 207A of, and Schedule A2 to, the Trade Union and Labour Relations (Consolidation) Act 1992 (as amended by the Employment Act 2008), which gives tribunals the power to increase or reduce an employee's compensation by up to 25% if either party has unreasonably failed to comply with a relevant code of practice.

A Checklist of questions that should not be asked in employment interviews, as well as a list of questions that may be asked about a candidate's potential or apparent disability. This Checklist is based on federal law, including Title VII of the Civil Rights Act of 1964 (Title VII), the Age Discrimination in Employment Act (ADEA) and the Americans with Disabilities Act (ADA), as amended by the Americans with Disabilities Act Amendments Act (ADAAA). For information on state law requirements, see the State Q&A Tools under Related Content to the right.

A checklist of practical tips for claimants and respondents to help maximise or minimise (as appropriate) the level of compensation in employment tribunal claims, and practical considerations when negotiating financial settlements.

A checklist of issues to consider when drafting a claim or response to a claim for sex harassment or sexual harassment and constructive dismissal. This supplements Standard documents, ET1 for sex harassment or sexual harassment and constructive dismissal and ET3 for sex harassment or sexual harassment and constructive dismissal.  

Tables showing destinations for the key employment provisions of the Equal Pay Act 1970, Sex Discrimination Act 1975, Race Relations Act 1976, Disability Discrimination Act 1995, Employment Equality (Sexual Orientation) Regulations 2003, Employment Equality (Religion or Belief) Regulations 2003, and Employment Equality (Age) Regulations 2006, which were replaced on 1 October 2010 (with minor exceptions) by the Equality Act 2010.

A resource tracking the progress of the Equality Act 2010, with links to relevant parliamentary stages, consultations, PLC updates and commentary.

A Checklist identifying useful resources to assist employers in complying with federal notice posting requirements. The Checklist directs employers to resources for posters from federal agencies including the Department of Labor (DOL), and Equal Employment Opportunity Commission (EEOC) and National Labor Relations Board (NLRB).

A checklist for use when meeting an employee who is due to return from maternity leave.

A list of issues to consider when creating and operating a non-discrimination and harassment policy.This checklist is periodically maintained.

This checklist highlights the key changes to discrimination law that the Equality Act 2010 has introduced. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

This checklist sets out the duties a business owes to members of the public when they are provided with goods, services or facilities. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

A Checklist outlining issues for an employer to consider in deterring sexual harassment and responding to internal sexual harassment complaints, including drafting effective anti-harassment policies, training supervisors and staff and conducting internal investigations. This Checklist addresses federal law. For information on state law considerations, see the State Q&A Tool under Related Content to the right.

A flowchart explaining how the circumstances in which an employee's employment is terminated determine whether the employee's dismissal is, is not or may be by reason of retirement. The default retirement age (DRA) is being phased out from 6 April 2011 and employers should consider the implications of imminent retirements in light of this (see Practice note, Default retirement age: implications of its abolition).

A sexual harassment training Checklist outlining issues for an employer to consider in creating training to deter and prevent sexual harassment and related legal exposure. This Checklist includes suggested content for sexual harassment training and additional topics for training for supervisors and managers. For information on state law requirements, see the State Q&A Tool under Related Content to the right.

A checklist of best practice for a company to consider regarding employee use of social media, based on UK law.

A best practices checklist for employers to consider regarding employee use of social media including use of a social media policy, lawful limitations on disparaging comments, prohibitions on misuse, elimination of harassment and requirements for training. This Checklist addresses federal law and general best practices.

A summary of the recommended periods for retention of employment records as reflected in the Employment Practices Code (a good practice guide issued by the Information Commissioner under section 51 of the Data Protection Act).

A checklist of questions to be considered when trying to determine if information can be considered "personal data" for the purposes of the Data Protection Act 1998.

A note of when the Supreme Court, Court of Appeal (Civil Division), Employment Appeal Tribunals and Employment Tribunals hear cases.

This Checklist outlines Form I-9 audit preparation and response best practices for employers when faced with a possible or actual Notice of Inspection from US Immigration and Customs and Enforcement (ICE) to verify compliance with the Immigration Reform and Control Act of 1986 (IRCA). In particular, this Checklist outlines the steps employers should take to prepare for the audit and the questions they should consider for the audit resolution.

A flowchart outlining different stages of an internal investigation, including common issues to consider and practical tips.

A Checklist of the steps to take when implementing an independent, neutral internal resolution program for handling employee disputes and workplace conflicts at a company. A peer review panel or peer advisory board can help a company constructively manage and promptly resolve employee grievances.

A Checklist outlining issues for an employer to consider in deterring sexual harassment and responding to internal sexual harassment complaints, including drafting effective anti-harassment policies, training supervisors and staff and conducting internal investigations. This Checklist addresses federal law. For information on state law considerations, see the State Q&A Tool under Related Content to the right.

A checklist of points to address when drafting a consultancy agreement where an individual's services are provided through a personal service (or loan-out) company which is controlled by the individual (for example, Standard document, Consultancy agreement via a service company).

A checklist of key questions that should be considered before seconding an employee to a third party.

A table summarising the statutory employment rights for which there is no qualifying period of service.

A table showing dismissals which are deemed to be automatically unfair.

A checklist of points to consider when preparing witnesses for trial.

A checklist of the statutory claims that may be settled by a compromise agreement. 

A table of the current rates and limits on certain statutory payments and tribunal awards.

A checklist of issues to consider when drafting a claim or response for failure to inform and consult over collective redundancies.  This supplements Standard documents, ET1 for failure to inform and consult over collective redundancies and ET3 for failure to inform and consult over collective redundancies. 

A checklist of issues to be considered by those drafting a claim or response for a statutory redundancy payment.  This supplements Standard documents, ET1 for statutory redundancy payment and ET3 for statutory redundancy payment.

A checklist of issues to consider when drafting a claim or response to a claim for redundancy unfair dismissal.  This supplements Standard documents, ET1 for unfair dismissal: redundancy and ET3 for unfair dismissal: redundancy. 

A checklist of issues to consider when drafting a claim or response for unfair dismissal for capability (poor performance) reasons.  This supplements Standard documents, ET1 for unfair dismissal: capability (poor performance) and ET3 for unfair dismissal: capability (poor performance). 

A checklist of issues to consider when drafting a claim or response for whistleblowing and unfair dismissal.  This supplements Standard documents, ET1 for whistleblowing and unfair dismissal and ET3 for whistleblowing and unfair dismissal.

A summary of the average awards made by employment tribunals and the type and number of claims made to the Employment Tribunals Service (ETS).

A table summarising the statutory rights that are available to employees, and those that are available to workers.

A table showing the time limits and qualifying periods for certain claims in an Employment Tribunal.

A list of possible sources of documentary evidence for which an employer, as respondent to an employment tribunal claim, should search. The checklist identifies those potentially relevant documents that might be obtained from those sources.

A table showing differences between, and advantages and disadvantages of, various methods of enforcement.

A checklist giving guidance on court options when enforcing a money judgment.

A checklist for use when meeting an employee who is due to return from maternity leave.

A timeline showing key stages for the purposes of statutory maternity leave and statutory maternity pay from the date maternity leave starts.

This checklist outlines how a business should respond to a flexible working request from an employee. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

A table showing the principal limitation time periods for different causes of action, as set out in the Limitation Act 1980.

A checklist of issues concerning third party rights, to consider when drafting contracts.  Includes issues under the Contracts (Rights of Third Parties) Act 1999.

A checklist of issues to consider when drafting a claim or response to a claim for unlawful deductions from wages.  This supplements Standard documents, ET1 for unlawful deduction from wages and ET3 for unlawful deduction from wages. 

A Checklist to help employers minimize the legal risks presented by employer-sponsored holiday parties. This checklist addresses sexual harassment prevention, avoiding harms created by alcohol consumption, workers' compensation liability, and wage and hour claims. This resource is jurisdiction-neutral. For information on state law requirements, see the State Q&A Tools under Related Content to the right.

HM Revenue & Customs (HMRC) has confirmed that, from 1 January 2012, businesses must account for VAT on the supply of VATable benefits provided to employees under salary sacrifice arrangements. Therefore, from that date, businesses must account for output tax on the supply of VATable benefits provided under salary sacrifice, as well as salary deduction arrangements. HMRC's decision not to seek underpaid output tax from employers will be welcomed by businesses who have provided VATable benefits to employees under salary sacrifice arrangements and reclaimed the input VAT. Similarly, its decision to apply its revised view from 1 January 2012, will also be welcomed as it gives businesses time to review (and where necessary) unwind arrangements before output tax becomes due. Where VATable benefits are provided under salary sacrifice arrangements, employers will have to consider the VAT costs of providing them. For example, the potential loss of VAT recovery on childcare voucher administration fees, on top of the recent changes to the regime for new joiners, which have created a significant additional administrative burden for employers, may lead businesses to conclude that the costs of providing them outweigh the benefits. This checklist highlights the various salary sacrifice arrangements that can be used by a business and the impact of the new VAT rules on them. It is aimed at non-lawyers and is designed for practice development purposes only. 

A checklist of best practices for a company to consider when using social media as part of its business strategy, based on UK law.

A Checklist with best practices for effective employment interviews, including steps to minimize legal risk before, during and after interviews. This Checklist provides best practices under federal law primarily. For information on state law requirements, see the State Q&A Tools under Related Content to the right.

A Checklist of the steps to take when implementing an independent, neutral internal resolution program for handling employee disputes and workplace conflicts at a company. A peer review panel or peer advisory board can help a company constructively manage and promptly resolve employee grievances.

This checklist sets out how a business should respond if an employee makes a request for time off work for study or training.  This checklist is aimed at non-lawyers and is designed for practice development purposes only.

A Checklist with best practices for effective employment interviews, including steps to minimize legal risk before, during and after interviews. This Checklist provides best practices under federal law primarily. For information on state law requirements, see the State Q&A Tools under Related Content to the right.

A Checklist of key issues to help employers comply with Labor Condition Application (LCA) obligations. Employers must obtain LCAs to sponsor workers for H-1B nonimmigrant visa status. To obtain an LCA certification, employers must make attestations about wages and working conditions for foreign and US workers, and must maintain a Public Access File (PAF).

This checklist highlights the key legal issues a business should consider when hiring an employee. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

This Checklist outlines the provisions that employers and practitioners should consider when negotiating the terms of an executive employment agreement.

A checklist of the statutory claims that may be settled by a compromise agreement. 

A list of do's and don'ts for directors of a company on the brink of insolvency to avoid the risk of liability for wrongful trading under section 214 of the Insolvency Act 1986.

A checklist of issues to consider when drafting a claim or response to a claim for redundancy unfair dismissal.  This supplements Standard documents, ET1 for unfair dismissal: redundancy and ET3 for unfair dismissal: redundancy. 

A checklist of information that an employer's legal adviser will usually need before advising an employer on the potential dismissal of an employee or the terms of a compromise agreement, together with matters relating to severance that will need to be discussed with the client. The checklist is intended for fairly general application and further information will often be needed, depending on the specific circumstances and the reason for dismissal.

This checklist sets out the key issues a business should consider when drawing up the pool of employees from which it will make its selection for redundancy. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

By virtue of section 105 of the Employment Rights Act 1996, selecting someone for redundancy on certain prescribed grounds will make their dismissal automatically unfair. This checklist sets out the circumstances in which their selection for redundancy will be automatically unfair.

Ready reckoner table for calculating the statutory redundancy payment or unfair dismissal basic award due to an employee. Note that the upper and lower age limits (but not the age bands themselves) were removed from 1 October 2006 when age discrimination became unlawful.  This document is also available as a PDF. See the Actions box on the right of this page.

A table summarising the statutory employment rights for which there is no qualifying period of service.

A checklist of questions to consider when advising on the tax treatment of termination payments.

A checklist of the information that may be needed before drafting restrictive covenants in order to maximise the likelihood that they will be enforceable.

A table summarising some of the decisions on the enforceability of restrictive covenants.

A checklist of the employment policies, procedures and forms which are commonly contained in a staff handbook, including links to those policies where they are found on PLC Employment.

A checklist of steps to carry out where an employer is proposing to effect a sickness-related dismissal for either capability, conduct or some other substantial reason.

A checklist of questions to ascertain the residence status of an employee who goes to work abroad.

A table showing dismissals which are deemed to be automatically unfair.

This checklist provides a summary of those claims in which an Acas conciliation officer is empowered to conciliate, as set out in section 18 of the Employment Tribunals Act 1996.

A checklist of the key steps involved in collective redundancy consultation under section 188 of the Trade Union and Labour Relations (Consolidation) Act 1992. For a checklist covering the whole redundancy process, see Redundancy procedure checklist.

A Checklist outlining steps an employer should take when it suspects that a current or former employee may be violating a non-compete or non-solicitation agreement. Non-competes may also be referred to as covenants not to compete or non-competition agreements. This resource is jurisdiction-neutral. For information on state law requirements, see the State Q&A Tool under Related Content to the right.

The law on handling dismissals, disciplinary action and grievances at work changed on 6 April 2009. This checklist gives a summary of the key changes that occured at that time.

A checklist of issues to consider when drafting a claim or response for a misconduct unfair dismissal.  This supplements Standard documents, ET1 for unfair dismissal (misconduct) and ET3 for unfair dismissal (misconduct). 

A checklist of issues to consider when drafting a claim or response for unfair dismissal for capability (ill health). This supplements Standard documents, ET1 for unfair dismissal: capability (ill health) and ET3 for unfair dismissal: capability (ill health).

A checklist of issues to consider when drafting a claim or response for whistleblowing and unfair dismissal.  This supplements Standard documents, ET1 for whistleblowing and unfair dismissal and ET3 for whistleblowing and unfair dismissal.

A checklist of information that an employer's legal adviser will usually need before advising an employer on the potential dismissal of an employee or the terms of a compromise agreement, together with matters relating to severance that will need to be discussed with the client. The checklist is intended for fairly general application and further information will often be needed, depending on the specific circumstances and the reason for dismissal.

A flow chart summarising the principles of unfair dismissal and the adjustments that can be made to compensation.

A checklist outlining the key issues for private employers to consider when contemplating a plant closing. This checklist addresses federal law. In particular, this checklist describes minimizing the risk of discrimination claims, immigration and union considerations, reporting and notice obligations and winding-down, severance, benefits and communications considerations. 

This checklist highlights the key issues that a business should consider when dealing with poor performance and, more generally, when dismissing an employee for this or any other reason. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

If a business is making redundancies, it has a duty to look for alternative employment for any potentially redundant employees. A dismissal is likely to be unfair, if at the time of the dismissal, the business does not consider whether any suitable alternative employment exists. This checklist sets out the key issues that a business needs to consider. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

By virtue of section 105 of the Employment Rights Act 1996, selecting someone for redundancy on certain prescribed grounds will make their dismissal automatically unfair. This checklist sets out the circumstances in which their selection for redundancy will be automatically unfair.

A flowchart explaining how the circumstances in which an employee's employment is terminated determine whether the employee's dismissal is, is not or may be by reason of retirement. The default retirement age (DRA) is being phased out from 6 April 2011 and employers should consider the implications of imminent retirements in light of this (see Practice note, Default retirement age: implications of its abolition).

A checklist of steps to carry out where an employer is proposing to effect a sickness-related dismissal for either capability, conduct or some other substantial reason.

A table summarising the statutory rights that are available to employees, and those that are available to workers.

A checklist of questions to consider when advising on the tax treatment of termination payments.

A table showing the time limits and qualifying periods for certain claims in an Employment Tribunal.

A checklist of the employment issues that both the buyer and seller should consider when carrying out a purchase of a company.

A checklist for local authorities to use when dealing with TUPE transfers during a procurement process.

A checklist of the employment issues that the buyer and seller should consider when carrying out a purchase of a business which may be subject to the Transfer of Undertakings (Protection of Employment) Regulations 2006, including key due diligence issues and post-completion matters.

A checklist of the main questions to be answered when setting up a joint venture or strategic alliance.

A checklist of the employee related liabilities that will pass from the seller to the buyer under the Transfer of Undertakings (Protection of Employment) Regulations 2006, and what will not transfer.

An overview of the steps to be followed when an independent trade union applies to be recognised as entitled to conduct collective bargaining on behalf of the workers in a bargaining unit. For a printable version, click "Download PDF" in the Actions box on the right.

A flow diagram identifying an employer's liability for unfair dismissal in connection with industrial action. Any cross references in this diagram refer to the Practice note, Industrial action and the employment relationship.

Once a trade union has made an application to the Central Arbitration Committee (CAC) for statutory recognition under Schedule A1 of the Trade Union and Labour Relations (Consolidation) Act 1992, the CAC must decide whether the application is admissible. To assist it make this decision the CAC will ask the employer to complete a response form and return it to the CAC within five days of receipt. This checklist identifies the information the employer will need to complete the CAC's response form.

A flowchart and companion analysis outlining the processes used by the National Labor Relations Board (NLRB) to determine whether a union can represent workers in collective bargaining under the National Labor Relations Act (NLRA). Click on the link for the flow chart in the second paragraph of this companion analysis.

This checklist is aimed at employers facing possible industrial action and their advisers. It suggest steps that may be taken and checks that ought to be made to protect the employer's position and maximise the chance of preventing unlawful industrial action through an injunction.

A Checklist describing the process for a union becoming the exclusive bargaining representative for a group of employees. The resource outlines the timeline and procedures involved in the union representation process that employers should understand to best respond to union organizing efforts.

A flowchart to help decide whether a whistleblower is protected under the Employment Rights Act 1996 (as amended by the Public Interest Disclosure Act 1998 (PIDA)).

A Checklist of issues under federal law that private employers should consider when reviewing and responding to an employee's request for disability-related leave. This Checklist addresses the Family and Medical Leave of 1993 (FMLA), the Americans with Disabilities Act of 1990 (ADA) and Title VII of the Civil Rights Act of 1964 (Title VII). For information on state law requirements, see the State Q&A Tools under Related Content to the right.

A checklist discussing the issues relating to employer coverage under the Family and Medical Leave Act (FMLA), and employee eligibility for FMLA job-protected leave for certain qualifying reasons. For information on state leave law requirements, see the State Q&A Tools under Related Content to the right.

Employers with employees who regularly work overtime, should be made aware of a recent Employment Appeal Tribunal (EAT) decision on the 48-hour working week opt out. The EAT held that a requirement by an employer for an employee to sign an opt-out agreement to work overtime was reasonable and necessary to ensure the employer complied with its duty under the Working Time Regulations (SI/1998/1833) to take reasonable steps to ensure compliance with the 48-hour week. The decision will be welcomed by employers who may have been concerned by their exposure to criminal sanctions for employees who want to work overtime, but do not agree to opt out of the 48-hour working week. This checklist summarises an employer's obligations under the Regulations. It is aimed at non-lawyers and is designed for practice development purposes only. 

This checklist sets out the issues a business should consider when responding to a request for holiday from a worker who is on sick leave. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

A Checklist of issues that arise during employee leave under the Family and Medical Leave Act (FMLA) and when an employee returns to work following FMLA leave. It addresses the amount and type of FMLA leave available, recertification for serious health conditions, benefits and reinstatement. For information about state law requirements, see the State Q&A Tools under Related Content to the right.

A checklist highlighting the various stages of a public procurement where sustainability issues can be taken into account.

A list of information a company should have available to be able to deal with any environmental issues.

A list of information a company should have available to be able to deal with any environmental issues.

A list of the procedures to be followed for a UK insurance firm wishing to provide services cross-border into another EEA state. Please note: this checklist is currently in the process of being reviewed and updated.

A list of the procedural steps to be taken by EEA firms wishing to provide services cross-border into the UK without the establishment of a UK branch. Please note: this practice note is currently in the process of being reviewed and updated.

A list of the applicable procedures for approval of changes relating to UK insurance firms operating in the EEA through a branch or through provision of services cross-border. Please note: this checklist is currently in the process of being reviewed and updated.

A flowchart setting out the main questions to be asked in order to determine whether a person is carrying on the regulated activity of assisting in the administration and performance of a contract of insurance within the scope of the Financial Services and Markets Act 2000 (FSMA). For further details on assisting in the administration and performance of a contract of insurance, see Practice note, assisting in the administration and performance of a contract of insurance.

A checklist for solicitors whose client's claim may be insured. It includes the key issues to be aware of, including the need to check the policy terms, dealing with the insurer and recovery of costs.

A checklist on how to find supporting evidence when seeking to resolve an ambiguity in legislation.

A checklist setting out the maximum statutory fines payable on conviction of an adult for a summary offence.

This checklist sets out the factors which can lead to a business being prosecuted for corporate manslaughter and the penalties for breaching the legislation. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

A flowchart setting out how the structured approach operates in the magistrates' court.

This checklist deals with the environmental issues likely to arise on the share purchase of a company.

A list of environmental, and health and safety, issues to be considered at the due diligence stage of an acquisition of assets. This checklist can be used for transactions in the UK, as well as international transactions.

A checklist of issues for seeking clients' instructions and drafting an environmental indemnity in a corporate (share or asset purchase) or property transaction.

A list of information a company should have available to be able to deal with any environmental issues.

A list of environmental issues to be dealt with after the completion of an acquisition.

A diagram showing a basic hire purchase structure. For an overview of hire purchase as a type of leasing structure, see Practice note, Leasing as a finance technique: overview.

A diagram showing the structure of a typical European-style high yield bond transaction. For a comparison with US high yield bonds, see Deal structure: high yield bonds - US model. For more information on high yield bonds, see Practice notes, High yield bonds and Restructuring high yield bonds: UK and US overview.  

A table showing the key differences between the classic global note (CGN) structure and the new global note (NGN) structure.

A timeline showing the stages of issuing and listing a typical drawdown of notes, listed in London, under a euro medium term note (EMTN) programme.

A timeline showing the stages of updating or amending a typical euro medium term note (EMTN) programme, where application is made to list notes issued under the EMTN programme in London.

A timeline showing the stages of a typical bond issue listed in London.

A diagram showing a typical ijara structure. For more on ijara and an overview of Islamic finance, see Practice note, Islamic finance: UK law overview.  

A diagram showing a typical mudaraba structure. For more on mudaraba and an overview of Islamic finance, see Practice note, Islamic finance: UK law overview.  

A diagram showing a typical musharaka structure. For more on musharaka and an overview of Islamic finance, see Practice note, Islamic finance: UK law overview.

A diagram showing a typical sukuk al ijara structure. For more on sukuk al ijara and an overview of Islamic finance, see Practice note, Islamic finance: UK law overview.  

A diagram of the structure of a typical sukuk al-murabaha transaction.

A diagram showing a structure of a typical sukuk al-salam transaction.

A checklist for English lawyers obtaining a foreign legal opinion in connection with a secured loan where the party providing the security is incorporated outside of England and Wales.

A diagram showing a basic hire purchase structure. For an overview of hire purchase as a type of leasing structure, see Practice note, Leasing as a finance technique: overview.

A checklist for English lawyers instructing foreign lawyers in connection with a facility agreement (also known as a loan agreement) which is subject to English law and where the borrower or one of the borrowers is incorporated outside England and Wales.

This checklist is for use by a borrower when selecting an interest period for an advance under a term loan facility. For information on interest periods, see Standard document: Facility agreement and the accompanying drafting note.

This checklist covers the procedure to be followed by a borrower when requesting an advance under a bilateral single currency term loan or revolving credit facility agreement. For further information on loan drawdown (or utilisation), see Standard document: Facility agreement and its accompanying drafting note.

This agenda can be used by lawyers of the lender or the arranger of a syndicated facility. It gives a list of documents to be dealt with prior to, and at the signing of, a facility agreement and the person responsible for each document. It should be used in conjunction with Checklist, Loan signing. If the loan is to be advanced on the day of signing the facility agreement,  also use Checklist, Loan drawdown.

A checklist on how to find supporting evidence when seeking to resolve an ambiguity in legislation.

A timeline showing the stages of a typical bond issue and the timetable for listing the bonds with the United Kingdom Listing Authority (UKLA) and admitting the bonds to trading at the London Stock Exchange.

A checklist for English lawyers instructing foreign lawyers in connection with a secured loan where the security is located outside England and Wales and/or where the party providing the security is established outside of England and Wales

This Checklist provides a list of common pitfalls that can arise with REITs and how they can be fixed. For more information about REITs, see Practice Note, REITs: Overview.

This checklist takes the form of a flowchart to help advisers and taxpayers decide whether the value added tax (VAT) disclosure rules apply to a transaction.

A checklist about how to extract more value from commercial contracts to improve your financial position in a downturn or to avoid being adversely affected by another party's financial difficulties.

A checklist setting out the debts owed to employees by an insolvent employer that are payable out of the National Insurance Fund if the relevant conditions are met.

A flowchart showing a summary of the proceedure of compulsory liquidation or winding up. For more detail, see Practice note, Compulsory liquidation.

A checklist summarising the issues that an insolvency practitioner should consider when dealing with the intellectual property of a company.

An overview of the administration procedure under Schedule B1 to the Insolvency Act 1986.

This checklist provides an overview of the process of company administration. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

This checklist explains what compulsory liquidation means for a creditor of a business that is in the process of being wound up by the court. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

Flowcharts summarising the two alternative routes by which a company may go into administration under the Insolvency Act 1986.

A checklist for lawyers acting for a creditor in a restructuring.

A timeline showing the typical progression of the Chapter 11 plan process.

A guide for landlords on when and if they can recover sums owed to them by a tenant that may have become insolvent.

A checklist for English lawyers obtaining a foreign legal opinion in connection with a secured loan where the party providing the security is incorporated outside of England and Wales.

A checklist setting out the provisions that govern the registration of charges created by overseas companies on or after 1 October 2009 (but before 1 October 2011).  These provisions are contained in the Overseas Companies (Execution of Documents and Registration of Charges) Regulations 2009 (SI 2009/1917) (Regulations). The regime for registration of charges created by overseas companies was changed by the Overseas Companies (Execution of Documents and Registration of Charges) (Amendment) Regulations 2011 (SI 2011/2194) (2011 OC Regulations) which came into force on 1 October 2011.  The 2011 OC Regulations mean that a charge created by an overseas company on or after 1 October 2011 will not be registrable at Companies House. For more information, see Practice note, Registration of charges created by companies and limited liability partnerships on or after 1 October 2009: Do charges created by overseas companies need to be registered?.

A checklist of key legal issues for taking security over assets by way of a charge.

A checklist of key legal issues for taking security over assets by way of pledge.

A guide for landlords on when and if they can recover sums owed to them by a tenant that may have become insolvent.

This checklist takes the form of two summary flowcharts of the direct tax disclosure legislation.

A timeline showing the stages of a typical bond issue and the timetable for listing the bonds with the United Kingdom Listing Authority (UKLA) and admitting the bonds to trading at the London Stock Exchange.

A checklist of the main issues to consider when advising on the UK tax treatment of a true sale securitisation.

This diagram illustrates the structure of a simple cash-settled credit default swap transaction. For a more detailed overview of credit default swaps, see Practice note, Credit derivatives: overview (UK) Credit default swaps.

A diagram showing a typical forward rate agreement. For more information on forward rate agreements and derivatives generally, see Practice note, Derivatives: Overview.

This diagram illustrates the structure of a simple physically-settled credit default swap transaction. For a more detailed overview of credit default swaps, see Practice note, Credit derivatives: overview (UK): Credit default swaps.

Checklist for terminating a derivative transaction as a result of an Event of Default or a Termination Event occurring under an ISDA Master Agreement.

A checklist for English lawyers obtaining a foreign legal opinion in connection with a secured loan where the party providing the security is incorporated outside of England and Wales.

A diagram showing a typical forfaiting structure. For further information on forfaiting, see Practice note, Forfaiting.

A diagram showing a typical murabaha structure. For more on murabaha and an overview of Islamic finance, see Practice note, Islamic finance: UK law overview.  

A checklist for English lawyers instructing foreign lawyers in connection with a secured loan where the security is located outside England and Wales and/or where the party providing the security is established outside of England and Wales

A checklist of key legal issues for taking security over assets by way of a charge.

This table sets out the controlled functions applying to the following types of entity: (1) Branches of incoming EEA firms exercising the MiFID passport (that is, the passport under the Markets in Financial Instruments Directive (2004/39/EC). (2) Branches of incoming EEA firms exercising other Single Market Directive passports. (3) Branches of incoming EEA firms using a top-up permission.

In this checklist, the Financial Regulation Group at Slaughter and May sets out some key "dos and don'ts" for candidates for executive and non-executive director (NED) positions to bear in mind in relation to FSA significant influence function (SIF) interviews. For more information on SIF interviews, see Practice note, SIF interviews at the FSA: a practical guide.

This checklist sets out the activities that can be passported throughout the European Economic Area under the Banking Consolidation Directive (2006/48/EC), the corresponding regulated activities in the UK and the corresponding specified investments to which the activities relate.

This checklist sets out the activities that could be passported throughout the European Economic Area under the Investment Services Directive (93/22/EEC), the corresponding regulated activities in the UK and the corresponding specified investments that the activities related to. On 1 November 2007, the Markets in Financial Instruments Directive (2004/39/EC) (MiFID) repealed and replaced the ISD in the UK. For information on the activities that can be passported under MiFID, see Checklist: Activities that can be passported under the Markets in Financial Instruments Directive.

A list of the procedures to be followed for a UK insurance firm wishing to provide services cross-border into another EEA state. Please note: this checklist is currently in the process of being reviewed and updated.

This checklist outlines the procedural steps for a UK investment firm wishing to provide services cross-border into another EEA State under the Markets in Financial Instruments Directive (2004/39/EC) (MiFID). Please note: this checklist is currently in the process of being reviewed and updated.

A list of the procedural steps to be taken by EEA firms wishing to provide services cross-border into the UK without the establishment of a UK branch. Please note: this practice note is currently in the process of being reviewed and updated.

This checklist outlines the procedural steps for an EEA investment firm to provide services cross-border into the UK under the Markets in Financial Instruments Directive (2004/39/EC) (MiFID). Please note: this checklist is currently in the process of being reviewed and updated.

A list of the applicable procedures for approval of changes relating to UK insurance firms operating in the EEA through a branch or through provision of services cross-border. Please note: this checklist is currently in the process of being reviewed and updated.

This checklist sets out the services and activities that can be passported throughout the European Economic Area under the Markets in Financial Instruments Directive (2004/39/EC) (MiFID). The checklist also sets out the corresponding regulated activites in the UK and the corresponding specified investments to which the MiFID services and activities relate.

This document contains an outline of the main contractual terms which the FSA requires to be included in appointed representative agreements (including agreements with introducer appointed representatives), together with some further terms that are typically included in such agreements.

This document contains an outline of the contractual terms that the FSA requires to be included in a multiple principal agreement.

This checklist sets out the activities that can be passported throughout the European Economic Area under the Banking Consolidation Directive (2006/48/EC), the corresponding regulated activities in the UK and the corresponding specified investments to which the activities relate.

This checklist sets out the categories of investments specified in Part III of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (SI 2001/544) (RAO). It includes examples of investments and identifies the relevant RAO provisions. For more information, see Practice note, Regulated activities order: overview: specified investments.

A checklist setting out the controlled activities and controlled investments falling within the UK financial promotion regime.

A flowchart setting out the main questions to be asked in order to determine whether a person is carrying on the regulated activity of accepting deposits within the scope of the Financial Services and Markets Act 2000 (FSMA). For further details on accepting deposits, see Practice note, Regulated activities: accepting deposits.

A flowchart setting out the main questions to be asked in order to determine whether a person is carrying on a regulated activity within the scope of the Financial Services and Markets Act 2000 (FSMA). For further details on regulated activities, see Practice note, Regulated activities order: overview.

A flowchart setting out the main questions to be asked in order to determine whether a person is carrying on a regulated mortgage activity within the scope of the Financial Services and Markets Act 2000 (FSMA). For further details on regulated mortgage activities, see Practice note, Regulated activities: mortgage-related activities.

Advisers and compliance professionals may wish to refer to this high-level checklist when helping authorised firms to determine whether their systems and controls are adequate as required by SYSC 3.1.1R. The checklist is not exhaustive and is only intended to be used as a broad guide. It is not a substitute for the firm's senior management carrying out their own regular reviews of their firm's systems and controls arrangements. Please note that this checklist reflects the position prior to the FSA Handbook changes which took effect on 1 November 2007.

A flowchart setting out the questions to ask to determine whether the financial promotion rules in chapter 4 of the FSA's New Conduct of Business rules (COBS 4) apply to a promotion of a regulated collective investment scheme. For further details on the promotion of collective investment schemes, see Practice note, Restrictions on the promotion of collective investment schemes.

This flowchart sets out the questions you need to ask to work out if a firm is carrying on MiFID business as the term is defined in the FSA Glossary. Annotations in the FSA Handbook make it relatively easy to identify MiFID-based rules. However, FSA's rules are drafted in such a way that, in order to work out which rules apply to a firm's business, you first need to establish if the firm is carrying on MiFID business. The multi-layered FSA definition of MiFID business makes it a challenge to work out when this will be the case. Practice note, What is MiFID business? expands on the content of this flowchart. It will help you to understand the three key elements of the FSA's definition of MiFID business, by summarising the types of investment firm, financial instrument and investment service/activity to which the MiFID derived rules in the FSA Handbook will always apply, as well as looking at applicable exemptions. It also provides some examples of the circumstances in which an investment firm must comply with FSA's MiFID-based rules even though it may not be carrying on MiFID business.

In this checklist, Julie Patient, Of Counsel at Hogan Lovells, sets out questions for firms to consider when checking whether they have taken into account undertakings provided to the FSA and OFT when drafting or amending terms and conditions for consumer contracts.

This checklist sets out the activities that can be passported throughout the European Economic Area under the UCITS IV Directive (2009/65/EC) and the corresponding regulated activities in the UK and the corresponding specified investments to which the activities relate.

A list of the procedures to be followed for a UK insurance firm wishing to establish a branch in another EEA state. Please note: this checklist is currently in the process of being reviewed and updated.

This checklist outlines the procedural steps for a UK investment firm to establish a branch in the EEA under the Markets in Financial Instruments Directive (2004/39/EC) (MiFID). Please note: this checklist is currently in the process of being reviewed and updated.

A list of the procedural steps for an EEA insurance firm to establish a branch in the UK. Please note: this checklist is currently in the process of being reviewed and updated.

This checklist outlines the procedural steps for an EEA investment firm to establish a branch in the UK under the Markets in Financial Instruments Directive (2004/39/EC) (MiFID). Please note: this checklist is currently in the process of being reviewed and updated.

A list of the applicable procedural requirements for approval of changes relating to EEA insurance firms operating in the UK through a branch or through provision of services cross border. Please note: this checklist is currently in the process of being reviewed and updated.  

This checklist outlines the procedural steps to be taken where a UK investment firm wishes to make changes to the details of any branch it has established, or cross-border services it provides, in the exercise of a passport right under the Markets in Financial Instruments Directive (2004/39/EC) (MiFID). Please note: this checklist is currently in the process of being reviewed and updated.

This flowchart sets out the questions you need to ask to work out if a firm is carrying on MiFID business as the term is defined in the FSA Glossary. Annotations in the FSA Handbook make it relatively easy to identify MiFID-based rules. However, FSA's rules are drafted in such a way that, in order to work out which rules apply to a firm's business, you first need to establish if the firm is carrying on MiFID business. The multi-layered FSA definition of MiFID business makes it a challenge to work out when this will be the case. Practice note, What is MiFID business? expands on the content of this flowchart. It will help you to understand the three key elements of the FSA's definition of MiFID business, by summarising the types of investment firm, financial instrument and investment service/activity to which the MiFID derived rules in the FSA Handbook will always apply, as well as looking at applicable exemptions. It also provides some examples of the circumstances in which an investment firm must comply with FSA's MiFID-based rules even though it may not be carrying on MiFID business.

A diagram showing the UK government's proposals, as set out in its February 2011 consultation paper, on the international roles of the new financial services regulatory bodies: the Financial Policy Committee (FPC); the Prudential Regulation Authority (PRA); and the Financial Conduct Authority (FCA). This note is being revised to take account of the publication of the Financial Services Bill 2010-12 (FS Bill) on 27 January 2012. For more information about the FS Bill, see Practice note, New UK regulatory structure: the Financial Services Bill 2010-12. This diagram is part of a series of practice notes relating to the new UK financial services regulatory structure. For more information, see Practice note, Hot topics: New UK financial services regulatory structure.

A diagram showing the UK government's proposals, as set out in its February 2011 consultation paper, on the powers of the Financial Policy Committee (FPC). This note is being revised to take account of the publication of the Financial Services Bill 2010-12 (FS Bill) on 27 January 2012. For more information about the FS Bill, see Practice note, New UK regulatory structure: the Financial Services Bill 2010-12. This diagram is part of a series of notes relating to the new UK financial services regulatory structure. For more information, see Practice note, Hot topics: New UK financial services regulatory structure.

This checklist contains a series of questions to assist when drafting a prospectus for an open-ended investment company (OEIC) in the UK.

A checklist setting out the controlled activities and controlled investments falling within the UK financial promotion regime.

A flowchart setting out the questions to ask to determine whether the financial promotion rules in chapter 4 of the FSA's Conduct of Business rules (COBS 4) apply to a promotion of an unregulated collective investment scheme. For further details on the promotion of collective investment schemes, see Practice note, Restrictions on the promotion of collective investment schemes.

This checklist summarises good practices in data security that have been identified by the FSA. It is designed to be used by firms to check whether they have effective data security systems and controls in place that comply with the FSA's requirements. For more information on the FSA's data security requirements, and its work in this area, see Practice notes, FSA data security requirements and Hot topics: FSA data security work.

This checklist outlines the new offences introduced by the Bribery Act 2010 and the penalties for committing them. It also highlights practical steps that businesses can take to help avoid breaching the legislation. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

This flowchart sets out the questions you need to ask to work out if a firm is carrying on MiFID business as the term is defined in the FSA Glossary. Annotations in the FSA Handbook make it relatively easy to identify MiFID-based rules. However, FSA's rules are drafted in such a way that, in order to work out which rules apply to a firm's business, you first need to establish if the firm is carrying on MiFID business. The multi-layered FSA definition of MiFID business makes it a challenge to work out when this will be the case. Practice note, What is MiFID business? expands on the content of this flowchart. It will help you to understand the three key elements of the FSA's definition of MiFID business, by summarising the types of investment firm, financial instrument and investment service/activity to which the MiFID derived rules in the FSA Handbook will always apply, as well as looking at applicable exemptions. It also provides some examples of the circumstances in which an investment firm must comply with FSA's MiFID-based rules even though it may not be carrying on MiFID business.

In this checklist, Julie Patient, Of Counsel at Hogan Lovells, sets out questions for firms to consider when checking whether they have taken into account undertakings provided to the FSA and OFT when drafting or amending terms and conditions for consumer contracts.

A list of the procedures to be followed for a UK insurance firm wishing to provide services cross-border into another EEA state. Please note: this checklist is currently in the process of being reviewed and updated.

A list of the procedural steps to be taken by EEA firms wishing to provide services cross-border into the UK without the establishment of a UK branch. Please note: this practice note is currently in the process of being reviewed and updated.

A list of the applicable procedures for approval of changes relating to UK insurance firms operating in the EEA through a branch or through provision of services cross-border. Please note: this checklist is currently in the process of being reviewed and updated.

A flowchart setting out the main questions to be asked in order to determine whether a person is carrying on the regulated activity of assisting in the administration and performance of a contract of insurance within the scope of the Financial Services and Markets Act 2000 (FSMA). For further details on assisting in the administration and performance of a contract of insurance, see Practice note, assisting in the administration and performance of a contract of insurance.

A checklist for solicitors whose client's claim may be insured. It includes the key issues to be aware of, including the need to check the policy terms, dealing with the insurer and recovery of costs.

This checklist sets out the activities that could be passported throughout the European Economic Area under the Investment Services Directive (93/22/EEC), the corresponding regulated activities in the UK and the corresponding specified investments that the activities related to. On 1 November 2007, the Markets in Financial Instruments Directive (2004/39/EC) (MiFID) repealed and replaced the ISD in the UK. For information on the activities that can be passported under MiFID, see Checklist: Activities that can be passported under the Markets in Financial Instruments Directive.

This checklist contains a series of questions to assist when drafting an instrument of incorporation for an open-ended investment company (OEIC) in the UK.

A flowchart setting out the questions to ask to determine whether the financial promotion rules in chapter 4 of the FSA's New Conduct of Business rules (COBS 4) apply to a promotion of a regulated collective investment scheme. For further details on the promotion of collective investment schemes, see Practice note, Restrictions on the promotion of collective investment schemes.

A flowchart setting out the main questions to be asked in order to determine whether a person is carrying on the regulated activity of establishing, operating or winding up a collective investment scheme; acting as trustee of an authorised unit trust scheme (AUT); or acting as the depository or sole director of an open-ended investment company (OEIC) (together, the article 51 RAO activity) within the scope of the Financial Services and Markets Act 2000 (FSMA). For further details on this regulated activity see, Practice note, Regulated activities: establishing, operating or winding up a collective investment scheme.

A list of steps that companies may or, in some cases, will need to take if they wish to take advantage of the regime for company communications (including electronic communications and communications by a website) under the Companies Act 2006 and Chapter 6 of the Disclosure Rules and Transparency Rules Sourcebook, which came into force on 20 January 2007. The steps include reviewing and possibly amending the articles of association at the company's next AGM and seeking consent of shareholders to electronic and website communication. The note also sets out practical points of which companies need to be aware in relation to the regime of company communications.

A checklist providing an overview of the application and content of the Listing, Prospectus, Disclosure and Transparency Rules.

This document contains an outline of the contractual terms that the FSA requires to be included in a multiple principal agreement.

This checklist sets out the activities that can be passported throughout the European Economic Area under the UCITS IV Directive (2009/65/EC) and the corresponding regulated activities in the UK and the corresponding specified investments to which the activities relate.

A checklist indicating the application of the main general exclusions (articles 66 to 72E, Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (SI 2001/544)) (RAO) to those regulated activities that are referred to as "investment services and activities", such as dealing in, arranging deals in and advising on investments. The checklist explains when overrides in the Markets in Financial Instruments Directive (2004/39/EC) (MiFID) and the Insurance Mediation Directive (2002/92/EC) (IMD) apply.

This checklist sets out the categories of investments specified in Part III of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (SI 2001/544) (RAO). It includes examples of investments and identifies the relevant RAO provisions. For more information, see Practice note, Regulated activities order: overview: specified investments.

A flowchart setting out the main questions to be asked in order to determine whether a person is carrying on the regulated activity of accepting deposits within the scope of the Financial Services and Markets Act 2000 (FSMA). For further details on accepting deposits, see Practice note, Regulated activities: accepting deposits.

A flowchart setting out the main questions to be asked in order to determine whether a person is carrying on the regulated activity of arranging deals in investments within the scope of the Financial Services and Markets Act 2000 (FSMA). For further details on arranging deals in investments, see Practice note, Regulated activities: arranging deals in investments.

A flowchart setting out the main questions to be asked in order to determine whether a person is carrying on the regulated activity of dealing in investments as agent within the scope of the Financial Services and Markets Act 2000 (FSMA). For further details on dealing in investments as agent, see Practice note, Regulated activities: dealing in investments as principal and dealing in investments as agent.

A flowchart setting out the main questions to be asked in order to determine whether a person is carrying on the regulated activity of effecting and carrying out contracts of insurance within the scope of the Financial Services and Markets Act 2000 (FSMA). For further details on effecting and carrying out contracts of insurance, see Practice note, Effecting and carrying out contracts of insurance.

A flowchart setting out the main questions to be asked in order to determine whether a person is carrying on the regulated activities of establishing, operating or winding up a stakeholder pension scheme or a personal pension scheme (the article 52 RAO activities) within the scope of the Financial Services and Markets Act 2000 (FSMA). For further details on this regulated activity, see Practice note, Regulated activities: establishing, operating or winding up a personal pension scheme.

A flowchart setting out the main questions to be asked in order to determine whether a person is carrying on the regulated activity of managing investments within the scope of the Financial Services and Markets Act 2000 (FSMA). For further details on managing investments, see Practice note, Regulated activities: managing investments.

A flowchart setting out the main questions to be asked in order to determine whether a person is carrying on a regulated home finance activity within the scope of the Financial Services and Markets Act 2000 (FSMA). For further details on regulated home finance activities, see Practice note, Regulated activities: home reversion and home purchase plans.

A flowchart setting out the main questions to be asked in order to determine whether a person is carrying on the regulated activity of safeguarding and administering investments within the scope of the Financial Services and Markets Act 2000 (FSMA). For further details on safeguarding and administering investments, see Practice note, Regulated activities: safeguarding and administering investments.

A flowchart setting out the main questions to be asked in order to determine whether a person is carrying on the regulated activity of sending dematerialised instructions within the scope of the Financial Services and Markets Act 2000 (FSMA). For further details on sending dematerialised instructions, see Practice note, Regulated activities: sending dematerialised instructions.

A checklist of points to include in a typical satellite procurement or construction contract.

A checklist of the main issues to be considered when appointing a licensee of know-how and drafting a Know-how licence and technical assistance agreement.

A checklist of the main issues to be considered when appointing a licensee of industrial designs and drafting a licence of industrial designs.

A Checklist identifying the main intellectual property and personal rights clearances that may be necessary when creating or using works that may qualify for copyright, trademark and other intellectual property and personal rights protections. Companies must conduct appropriate rights clearance when creating and using these materials to avoid potential legal action and minimize exposure to liability.

A best practices checklist for a company to consider regarding employee use of social media.

A checklist of best practices for a company to consider when operating a social-networking service or when providing such a service as part of an online business.

A checklist of questions to consider when determining whether a party is a data controller or a data processor pursuant to the Data Protection Directive (1995/46/EC).

This checklist provides a summary of the relevant action points following the discovery of a breach of personal data security.

This checklist highlights the key legal obligations that a business should consider when dealing with personal data about customers, suppliers, employees or any other individual who may be encountered during the course of business. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

A checklist to consider when trying to determine the meaning of consent for the purpose of the EU and UK data protection frameworks.

A checklist of questions to be considered when trying to determine if information can be considered "personal data" for the purposes of the Data Protection Act 1998.

This checklist provides businesses with practical tips to help them protect, use and exploit any brands they own. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

A checklist for use when dealing with freedom of information requests under the Freedom of Information Act 2000.

A table showing the principal limitation time periods for different causes of action, as set out in the Limitation Act 1980.

A checklist of issues concerning third party rights, to consider when drafting contracts.  Includes issues under the Contracts (Rights of Third Parties) Act 1999.

A Checklist identifying the main intellectual property and personal rights clearances that may be necessary when creating or using works that may qualify for copyright, trademark and other intellectual property and personal rights protections. Companies must conduct appropriate rights clearance when creating and using these materials to avoid potential legal action and minimize exposure to liability.

A Checklist summarizing key licensee rights and obligations set out in the seven most commonly used open-source software licenses.

This checklist provides a summary of the relevant action points following the discovery of a breach of personal data security.

A checklist setting out the main issues that a potential buyer of a software business should consider when undertaking due diligence to ascertain whether the seller or target owns the intellectual property rights used in the target business.

This checklist sets out the main issues for a buyer to consider when conducting due diligence of  third party intellectual property within a target business.

A checklist of the main issues for users and suppliers to consider when negotiating systems integration agreements.

A checklist of best practices for a company to consider when using social media as part of its business strategy, based on UK law.

A checklist of issues for a company to consider when monitoring and responding to third-party use of social media, based on UK law.

This Checklist discusses the main issues companies should explore to minimize the liability for content on their websites.

This Checklist covers the US legislation and regulations under which a website operator may incur liability in various aspects of its business.

This checklist outlines the remedies available to consumers when buying faulty goods. It also highlights the additional obligations businesses owe to consumers when selling their goods by distance means, such as online, by mail order and telephone, including the right for consumers to cancel most orders for any reason. This checklist is aimed at non-lawyers and is for practice development purposes only.

A checklist of questions to be considered when trying to determine which national data protection law(s) adopted pursuant to the Data Protection Directive (1995/46/EC) may be applicable to the processing of personal data.

A checklist of best practices for a company to consider when using social media as part of its business strategy, based on UK law.

A checklist of issues for a company to consider when monitoring and responding to third-party use of social media, based on UK law.

This Checklist provides questions companies should ask before participating in a standard-setting organization and sets out best practices for companies to follow to minimize the antitrust risks of participation.

A checklist of the main issues to be considered when appointing a licensee of patent rights and drafting a patent licence.

This Checklist describes relevant legal obligations and common gaps in information security compliance pertaining to personal information of individuals.

A chart that sets out state requirements for notifying state agencies and state law enforcement authorities in the event of a data breach involving the personal information of individuals.

A checklist of the main issues to be considered in connection with intellectual property rights when establishing a "spin-out" company.

A checklist setting out the basic components of an effective trademark anti-counterfeiting program for US trademark owners.

This checklist provides practical tips for businesses to help ensure that any comparative advertising they produce is within the law. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

A Checklist identifying the main intellectual property and personal rights clearances that may be necessary when creating or using works that may qualify for copyright, trademark and other intellectual property and personal rights protections. Companies must conduct appropriate rights clearance when creating and using these materials to avoid potential legal action and minimize exposure to liability.

A Checklist of common issues that a trademark licensor should consider when starting a licensing program, selecting a licensee and entering into a trademark license agreement.

A list of issues to consider when creating and operating a non-discrimination and harassment policy.This checklist is periodically maintained.

A list of information a company should have available to be able to deal with any environmental issues.

A summary of practical measures to consider when planning a business's disaster recovery strategy.

A list of issues to take into account when planning to interview an employee about internal fraud.

Issues to be borne in mind when preserving evidence.

What a computer forensic expert would want to know. A list of items which fall for consideration when dealing with the handling of IT evidence.

This checklist is based on an extract from a case study on records management by Caroline Mylward and Brona McKeown at Barclays plc. It sets out the points businesses operating outside the UK should consider in relation to records management. 

This checklist is based on an extract from a case study on records management by Caroline Mylward and Brona McKeown at Barclays plc. It highlights the issues a company should consider when scanning documents in order to store them.

This checklist is based on an extract from a case study on records management by Caroline Mylward and Brona McKeown at Barclays plc. It outlines the practical steps to consider when setting retention periods.

A table showing the principal limitation time periods for different causes of action, as set out in the Limitation Act 1980.

A checklist of issues concerning third party rights, to consider when drafting contracts.  Includes issues under the Contracts (Rights of Third Parties) Act 1999.

A flowchart showing how property is distributed under the intestacy rules when the deceased leaves no surviving spouse or civil partner.

This is a checklist of the types of investment which the deceased may hold and which should be valued for the purposes of inheritance tax. It is based on advice provided by HM Revenue & Customs Inheritance Tax.

A flowchart demonstrating what happens when an administrator of a deceased's estate renounces the right to administration, both where a deceased left a will (but there are no executors) and where he died intestate. For information on renunciation, see Practice note, Renunciation (and Retraction) by personal representatives of the right to probate or administration.

A flowchart showing what happens when an executor obtains probate, then dies and one of his executors wishes to renounce the right to probate. For information on renunciation see Practice note, Renunciation (and Retraction) by personal representatives of the right to probate or administration.

A table showing the principal limitation time periods for different causes of action, as set out in the Limitation Act 1980.

A checklist of issues concerning third party rights, to consider when drafting contracts.  Includes issues under the Contracts (Rights of Third Parties) Act 1999.

This checklist takes the form of two summary flowcharts of the direct tax disclosure legislation.

A checklist of issues to consider when reviewing a company's articles of association where the company is seeking EIS investment.

This checklist sets out a list of questions which family members might be asked to address as part of the process of drawing up either a strategic plan for a family business, a shareholders' agreement, a family charter or a family constitution. Not all questions will be relevant or appropriate for every family or every family business.For details of the different governance structures which a family business can adopt, see Practice note, Family business governance.

This checklist highlights the key features of entrepreneurs' relief. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

A checklist of questions to ascertain the residence status of an employee who goes to work abroad.

This checklist is a list of common tax issues that may arise on a share sale that the seller may wish to consider. This checklist is in three sections - issues that may arise whether the seller is a company or an individual, issues that you may need to consider only when the seller is an individual, and issues that may arise only when the seller is a corporate entity.

A flowchart setting out how to determine which powers to use to change trustees. It covers express powers, powers under the Trustee Act 1925 and the Trusts of Land and Appointment of Trustees Act 1996, and the court's inherent jurisdiction. For more information about changing trustees and the scope of the powers in the flowchart, see Practice note, Changing trustees.

A checklist of points to deal with when trustees exercise powers of appointment, advancement and transfer. It covers what to check before exercising a power, drafting and completing a document to exercise the power, transferring trust assets and trust administration.

A flowchart summarising how to check whether a trust interest is valid under the rule against perpetuities. For more information, including a detailed explanation of how to answer the questions in the flowchart, see Practice note, Perpetuities and trusts: advising whether an existing trust is valid.   For a printable version of the flowchart click here.

A flowchart summarising how to check whether a trust interest is valid under the rule against perpetuities. For more information, including a detailed explanation of how to answer the questions in the flowchart, see Practice note, Perpetuities and trusts: advising whether an existing trust is valid.   For a printable version of the flowchart click here.

A table showing the principal limitation time periods for different causes of action, as set out in the Limitation Act 1980.

This checklist is for the review of documents within the context of a due diligence exercise for a share or asset purchase.

This checklist is for the review of documents within the context of a due diligence exercise for a share or asset purchase.

A checklist for investigating a freehold property. A short-form version of this checklist for users to print off and keep on their files can be accessed here. PLC Property training materials on the investigation of property are also available. See Training: Checklist for investigation of property.

This checklist is for the review of documents within the context of a due diligence exercise for a share or asset purchase.

This checklist is for the review of documents within the context of a due diligence exercise for a share or asset purchase.

A checklist for establishing whether an employer has the right to terminate a building contractor's employment on grounds of insolvency.

A checklist for an employer of signs that a building contractor is about to go insolvent.

A checklist for clients under the Construction (Design and Management) Regulations 2007 (SI 2007/320)(CDM 2007). Note that any one person may need to comply with the duties of more than one duty holder.

A checklist for designers under the Construction (Design and Management) Regulations 2007 (SI 2007/320) (CDM 2007). Note that any one person may need to comply with the duties of more than one duty holder.

This checklist is for the review of documents within the context of a due diligence exercise for a share or asset purchase.

A checklist of the main items to look for when considering a party wall surveyor's award issued under the Party Wall etc. Act 1996 (PWA 1996).

This checklist highlights the key features of the law that governs work on a party wall. It summarises the steps for existing walls, new walls and excavation works. It also explains the consequences of failing to follow the correct procedures. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

This checklist takes the form of a flowchart to help advisers and taxpayers decide whether the value added tax (VAT) disclosure rules apply to a transaction.

A checklist of the main items to look for when considering a party wall surveyor's award issued under the Party Wall etc. Act 1996 (PWA 1996).

This checklist highlights the key features of the law that governs work on a party wall. It summarises the steps for existing walls, new walls and excavation works. It also explains the consequences of failing to follow the correct procedures. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

This checklist summarises good practices in data security that have been identified by the FSA. It is designed to be used by firms to check whether they have effective data security systems and controls in place that comply with the FSA's requirements. For more information on the FSA's data security requirements, and its work in this area, see Practice notes, FSA data security requirements and Hot topics: FSA data security work.

This checklist outlines the new offences introduced by the Bribery Act 2010 and the penalties for committing them. It also highlights practical steps that businesses can take to help avoid breaching the legislation. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

This checklist explains what a tenancy deposit scheme (TDS) is and what a landlord's obligations are under a TDS. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

A checklist for establishing whether an employer has the right to terminate a building contractor's employment on grounds of insolvency.

A checklist for an employer of signs that a building contractor is about to go insolvent.

A checklist of measures a building contractor may take to protect itself against employer insolvency.

Flowcharts summarising the two alternative routes by which a company may go into administration under the Insolvency Act 1986.

A list of the procedures to be followed for a UK insurance firm wishing to provide services cross-border into another EEA state. Please note: this checklist is currently in the process of being reviewed and updated.

A list of the procedural steps to be taken by EEA firms wishing to provide services cross-border into the UK without the establishment of a UK branch. Please note: this practice note is currently in the process of being reviewed and updated.

A list of the applicable procedures for approval of changes relating to UK insurance firms operating in the EEA through a branch or through provision of services cross-border. Please note: this checklist is currently in the process of being reviewed and updated.

A flowchart setting out the main questions to be asked in order to determine whether a person is carrying on the regulated activity of assisting in the administration and performance of a contract of insurance within the scope of the Financial Services and Markets Act 2000 (FSMA). For further details on assisting in the administration and performance of a contract of insurance, see Practice note, assisting in the administration and performance of a contract of insurance.

A checklist for solicitors whose client's claim may be insured. It includes the key issues to be aware of, including the need to check the policy terms, dealing with the insurer and recovery of costs.

A checklist for investigating a freehold property. A short-form version of this checklist for users to print off and keep on their files can be accessed here. PLC Property training materials on the investigation of property are also available. See Training: Checklist for investigation of property.

A checklist of the main items to look for when considering a party wall surveyor's award issued under the Party Wall etc. Act 1996 (PWA 1996).

This checklist is for the review of documents within the context of a due diligence exercise for a share or asset purchase.

This checklist highlights the practical issues that a tenant should consider when exercising a break clause. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

This checklist explains what a service charge is, when consultation is required, what the penalties are for failing to comply with the consultation requirements and what the time limits are for making service charge demands. This checklist is aimed at non-lawyers and is designed for practice development purposes only.

This checklist takes the form of two flowcharts of the stamp duty land tax (SDLT) disclosure legislation. The flowcharts are designed to help taxpayers and advisers determine whether the SDLT disclosure rules apply to a transaction.

A checklist for English lawyers instructing foreign lawyers in connection with a secured loan where the security is located outside England and Wales and/or where the party providing the security is established outside of England and Wales

This Checklist provides a list of common pitfalls that can arise with REITs and how they can be fixed. For more information about REITs, see Practice Note, REITs: Overview.

This checklist takes the form of a flowchart to help advisers and taxpayers decide whether the value added tax (VAT) disclosure rules apply to a transaction.

A checklist for clients under the Construction (Design and Management) Regulations 2007 (SI 2007/320)(CDM 2007). Note that any one person may need to comply with the duties of more than one duty holder.

A checklist for designers under the Construction (Design and Management) Regulations 2007 (SI 2007/320) (CDM 2007). Note that any one person may need to comply with the duties of more than one duty holder.

A checklist of the main items to look for when considering a party wall surveyor's award issued under the Party Wall etc. Act 1996 (PWA 1996).

This checklist is for the review of documents within the context of a due diligence exercise for a share or asset purchase.

This checklist is for the review of documents within the context of a due diligence exercise for a share or asset purchase.

A checklist identifying the key issues for either the referring or responding party on receipt of an adjudicator's decision.

A checklist of key considerations for the parties when appointing an adjudicator.The appointment of the adjudicator and the referral of the dispute to the adjudicator must be within seven days of the issue of the Notice of Adjudication. Therefore, it is important the adjudicator is appointed in strict compliance with the relevant contractual provisions or applicable adjudication procedure.

A checklist identifying the key considerations for the responding party when preparing its response.Generally, the responding party is entitled to serve a response to the referral notice within the timescales imposed by the applicable adjudication procedure. Often it is the only document served in response to the referring party's case. In addition to preparing the response, the responding party also has to consider whether to challenge the adjudicator's jurisdiction.

A flowchart setting out the stages of enforcement of an adjudicator's decision in the TCC.

A table comparing the payment mechanism under Part II of the Housing Grants, Construction and Regeneration Act 1996 (Construction Act 1996) with the amendments in Part 8 of the Local Democracy, Economic Development and Construction Act 2009 (LDEDC Act 2009).

A set of flowcharts setting out the compulsory stages of payment mechanisms to be included in a construction contract, considering payment under Part II of the Housing Grants, Construction and Regeneration Act 1996 (Construction Act 1996) and payment under the Scheme for Construction Contracts (England and Wales) Regulations 1998. The flowcharts refer to construction contracts entered into both before and after the effective date of the changes made under the Local Deomocracy, Economic Development and Construction Act 2009 (LDEDC Act 2009).

A checklist outlining the key stages of a mediation including the opening, exploration and settlement phases.