3.1 The United Kingdom’s anti-money laundering and anti-terrorist financing legislation and related regulations issued by The Law Society and the Solicitors Regulation Authority require us to conduct due diligence on new clients and on-going monitoring of existing clients.

3.2 We are required to verify and document the identity and address of every client of Ellerman (including the beneficial owner or effective controller of a company or trust). Sometimes we are able to verify and document the identity of a client through electronic data sources. If this is not possible, we will ask the client to provide us with the necessary information and documents. Periodically, or if their circumstances change, we may ask a client to provide us with up to date evidence of identity. If we are unable to obtain satisfactory evidence of identity, we will not be able to act or continue acting.

3.3 We are also required to identify the source of monies paid to or controlled by Ellerman. We cannot accept funds from any source unless the source has previously been disclosed to us and identified to our satisfaction. If payment is made to us in breach of this provision, the funds may be frozen until their source and provenance has been established.

3.4 The legislation which governs money laundering and the financing of terrorism has placed professional advisers, including lawyers, under a legal duty in certain circumstances to disclose information to the National Crime Agency. Where a lawyer knows or suspects that a transaction involves money laundering or the financing of terrorists, he or she may be required to report their knowledge or suspicion to the National Crime Agency. If this happens, we will not be able to inform you that a disclosure has been made or of the reason for it, for legal reasons. We accept no liability for any loss, damage, costs or expenses that you might incur by reason of such disclosure.

4.1 We always try to provide our clients with a quality service in a friendly manner applying the highest standards of professionalism and ethics. Any client who is unhappy with any aspect of the service we have provided is entitled to complain. We aim to investigate complaints fairly and to respond as quickly as circumstances allow.

4.2 If at any time you are unhappy with any aspect of the service we have provided to you, or if you wish to discuss an invoice we have delivered to you, please in the first instance contact the responsible lawyer. If the responsible lawyer is unable to resolve the matter to your satisfaction, or if you would prefer to speak to someone else about the matter, please contact one of our joint managing directors, David Williams QC and Ivan Pearce.

4.3 If after our own complaints handling procedure has run its course you are still not satisfied with our response to your complaint or with our handling of the complaint, you may ask the Legal Ombudsman to consider the matter. The Ombudsman’s role, remit and procedures are described on his website (www.legalombudsman.org.uk). The Ombudsman will only consider complaints made by individuals, micro-enterprises and small trusts, charities or associations. Normally a complaint must be notified to the Ombudsman within six months of the client receiving a final written response from the firm about it, or within six years of the date of the act or omission complained about (or if outside of this period, within three years of when the client should reasonably have been aware of it). The Ombudsman can be contacted by writing to PO Box 6806, Wolverhampton WV1 9WJ, emailing enquiries@legalombudsman.org.uk or telephoning 0300 555 0333.

4.4 Most of the time, complaints about solicitors are about poor service, and therefore should be sent to the Legal Ombudsman. If the Legal Ombudsman thinks your case involves a breach of SRA Principles, they will refer your case to the SRA. Likewise, if you report a solicitor for poor service, the SRA will refer you to the Legal Ombudsman.

The SRA do not have the power to award compensation for poor service, or to reduce or refund your legal fees.

However, you should report the matter directly to the SRA if you think a firm or anyone regulated by the SRA has breached an SRA Principle. https://www.sra.org.uk/consumers/who-we-are/sra-regulate/#principles

When reporting, please

• set out your concerns clearly,

• identify individuals you consider responsible,

• attach any evidence you have in support.

For guidance on the complaints process, call SRA contact centre.
https://www.sra.org.uk/home/contact-us/
https://www.sra.org.uk/consumers/problems/report-solicitor/

4.5 If a complaint relates to an invoice we have delivered, you may also be entitled to apply to the court for an assessment of the invoice under Part III of the Solicitors Act 1974. If you wish our charges to be reviewed by the court you must apply to the court within one month of the date the invoice was delivered to you. If the invoice has been paid, more than twelve months has elapsed or a judgment has been obtained in respect of the costs covered by the invoice, the court will not order the invoice to be assessed unless special circumstances apply. If the court makes an order in such circumstances, it may attach conditions to the order in respect of the costs of the assessment. Our entitlement to charge interest in respect of an unpaid invoice may not be affected by any complaint you make to the Legal Ombudsman or by any application you make to the court for assessment of the invoice.

Ellerman Limited maintains professional indemnity insurance in an amount which exceeds the minimum cover required by the Solicitors Regulation Authority. It covers the firm’s professional services in the United Kingdom and worldwide and extends to acts or omissions arising out of our professional services wherever they occur. Details of our primary layer of compulsory professional indemnity insurance cover, including the name of the insurer, will be supplied to clients on request.

When you access this website, your computer’s browser provides us with electronic information such as your IP address, browser type and access time. The website collects this information to provide you with a good user experience. We also use this information to help us improve the website and to compile statistical data on the use of the website. Further information about cookies and how we use them is available on this website in the Cookies Policy.

Ellerman Law Limited is registered with the United Kingdom’s Information Commissioner as a controller of personal data under the Data Protection Act 1998. Any personal data collected during your use of this website will be processed in accordance with current United Kingdom data protection laws and for one or more of the following purposes: for the purpose specified in the relevant part of the website; to enable us to supply you with the information or assistance you have requested; to enable us to provide you with information about us, our services and our events; and for any other purpose for which you give your consent. If at any time you wish to have your name removed from our database, please email our Chief Executive, Ivan Pearce at ivanpearce@ellermanlaw.com

8.1 Electronic communication carries with it certain risks. It might not be secure, or it might be intercepted, carry viruses, distort during transmission or arrive late or not at all. Unless in writing you expressly prohibit electronic communication, we may use email and/or fax to communicate with you and others involved in your matter. Unless we inform you otherwise in writing, email we send to you will not be encrypted. Anyone who communicates with us electronically or who does not expressly prohibit such communication will be assumed to accept the associated risks. We accept no liability for any inadvertent breach of confidence or privilege, or for any loss or damage that occurs, as a result communication by email or fax.

8.2 We operate anti-virus software, which is updated regularly, but we accept no liability for viruses. You must rely on your own anti-virus software. We recommend that you scan all emails and any attachments for viruses before opening them. We also advise you to confirm any advice received by email before acting on it.

8.3 We monitor electronic communications to protect our business, our staff and clients and to ensure that our legal and regulatory obligations and our internal policies and procedures are being complied with.

9.1 Information about this website
This website is owned and operated by Ellerman Law Limited, which is an English law firm authorised and regulated by the Solicitors Regulation Authority.

9.2 Application and amendment
Use of this website does not create a client-lawyer relationship and is subject to the terms and conditions set out here (in paragraph 10). These terms of use must be construed, and may be relied on and enforced, independently of each other. We may alter the terms of use at any time by publishing new terms on this website, following which all use of the website will be governed by the new terms. You should check this page from time to time and take notice of any changes we make, as they will be legally binding on you.

9.3 Exclusions of liability
Whilst we believe, and have taken reasonable measures to ensure, that this website is free of viruses, use of the website is at your risk. All liability for loss or damage arising from your use of this website is excluded to the extent permitted by law. Whilst we have taken reasonable care to ensure that the content of this website and the publications on it is accurate and complete, the information on this website and in those publications is for information only and does not constitute legal or professional advice. All liability for loss or damage arising from reliance on such information is excluded to the extent permitted by law.

9.4 Intellectual property rights
Copyright in (and any other intellectual property rights that attach to) the content of this website or the publications on it (including, but not limited to, the ‘Ellerman Law Limited’, ‘Ellerman Law’ and ‘EL’ marks, logos and branding) is owned by Ellerman Law Limited. You may download and temporarily store one or more pages of this website for the sole purpose of viewing them. You may print any publication on this website so long as each copy is a complete copy, no amendment is made to it and it is only for personal use or use within your own organisation. None of the content of this website or the publications on it, whether or not permission is granted for downloading, printing or circulation, may be used for the purpose of commercial exploitation. Any other copying, transmission, distribution or storage of such content is prohibited without the prior written consent of Ellerman Law Limited.

9.5 Publications
The publications on this website provide general information only. They must not be relied on as legal or professional advice. Publications might not contain exhaustive statements of the law, might not be up to date and the information they contain might not be appropriate for your matter or circumstances. Users located abroad should also be aware that laws and regulations may be different outside England and Wales. Before you act or omit to act, you should take specific legal advice on any particular matter that concerns you. If you require legal advice, please contact us.

9.6 Electronic links
Electronic links to this website are prohibited without the prior written consent of Ellerman Limited. Any links to other websites provided by this website have been included for convenience only. Such links do not imply endorsement by Fulcrum International Ltd of the linked website, its provider or its content. We accept no liability for the content of, or for any loss or damage caused by access to, use of, reliance on or software downloaded from, any linked website.

9.7 Governing law
All issues relating to this website, the content of this website and the content of any publication appearing on this website are governed by English law. Unless Ellerman Law Limited elects otherwise, any dispute relating to such matters shall be subject to the exclusive jurisdiction of the English courts.

9.8 Accessibility
We are committed to promoting equality of opportunity and respect for diversity in employment, in our dealings with clients and others and in the way in which we deliver our services. This website is designed to be accessible to as many users as possible by meeting or exceeding the requirements of current United Kingdom accessibility legislation and internationally accepted guidelines. The ‘Accessibility’ link contains further information about accessibility issues.

3.1 We will treat all employees and job applicants equally and fairly and will not discriminate unjustifiably against them. This will, for example, include arrangements for recruitment and selection, terms and conditions of employment, access to training opportunities, access to promotion and transfers, grievance and disciplinary processes, demotions, selection for redundancies, dress code, references, bonus schemes, work allocation and any other employment related activities.

Recruitment and selection

3.2 We will ensure that:

• (a) we recruit from the widest pool of candidates possible;
• (b) employment opportunities are open and accessible to all on the basis of their individual qualities and personal merit;
• (c) where appropriate, positive measures are taken to attract applications from all sections of society and especially from those groups which are under-represented in the workforce;
• (d) selection criteria and processes do not discriminate unjustifiably on the grounds of disability, gender,  marital status,  race,  racial group, colour, ethnic or national origin, nationality, religion or belief, sexual orientation, or age other than in those instances where we are exercising permitted positive action;
• (e) wherever appropriate and necessary, lawful exemptions (genuine occupational requirements) will be used to recruit suitable staff to meet the special needs of particular groups;
• (f) all agencies, agents and consultants acting for Ellerman are aware of our requirement not to discriminate and to act accordingly.

Training and promotion opportunities

3.3 Promotion within the Firm will be based solely on merit.  The selection criteria and processes for recruitment and promotion will be kept under review to ensure that there is no unjustifiably discriminatory impact on any particular group.

3.4 We may take positive action to encourage under-represented groups to apply for promotion opportunities.  However, recruitment or promotion to all jobs will be based solely on merit.

3.5 We will make sure that all our employees have equal access to training and other career development opportunities appropriate to their experience and abilities.

Conditions of service

3.6 Ellerman will treat all employees equally and create a working environment which is free from discrimination and harassment and which respects the diverse backgrounds and beliefs of employees.

3.7 Terms and conditions of service for employees will comply with anti-discrimination legislation. The provision of benefits such as working hours, maternity and other leave arrangements, performance appraisal systems, dress code, bonus schemes and any other conditions of employment will not discriminate against any employee on the grounds of their gender, marital status, race, racial group, colour, ethnic or national origin, nationality, religion or belief, sexual orientation or age; or unreasonably on the grounds of their disability.

3.8 Where appropriate and necessary, Ellerman will endeavour to provide appropriate facilities and conditions of service which take into account the specific needs of employees which arise from their ethnic or cultural background, gender, responsibilities as carers, disability, religion or belief, sexual orientation or age.

Consultants Independent Counsel and Trainers

3.9 Consultants and Independent Counsel and Trainers will be selected on the basis of their skills, experience and ability. Arrangements and procedures for selecting Consultants, Independent Counsel and Trainers, their terms and conditions of service, access to benefits, facilities or services and termination arrangements will be reviewed and amended where necessary to prevent discrimination on any of the forbidden grounds.

Suppliers and Service Providers

3.10 All lists of approved suppliers and databases of contractors, agents and other third parties who, or which, are regarded as suitable to be instructed by those within Fulcrum have been compiled only on the basis of the ability of those persons or organisations to undertake work of a particular type and contain no discriminatory exclusion, restriction or preference.

Clients

3.11 Ellerman will take steps to meet the different needs of particular clients arising from its obligations under anti-discrimination legislation.  In addition, where necessary and where it is permitted by the relevant anti-discrimination legislation (for example, provisions relating to positive action or exemptions) we will seek to provide services which meet the specific needs and requests arising from clients’ ethnic or cultural background, gender, responsibilities as carers, disability, religion or belief, sexual orientation, age or other relevant factors.

Responsibility

4.1 Ultimate responsibility for implementing the policy rests with the Chief Executive who is responsible for the operation of the policy.

4.2 All directors, employees and consultants of Ellerman are expected to pay due regard to the provisions of this Equality and Diversity policy and are responsible for ensuring compliance with it when undertaking their jobs or representing us.

4.3 Acts of discrimination or harassment on any of the forbidden grounds by employees of Ellerman will result in disciplinary action. Failure to comply with this policy will be dealt with under our disciplinary procedure. The policy applies to all who are employed in Ellerman.

4.4 Acts of discrimination or harassment on any of the forbidden grounds by those acting on behalf of Ellerman will lead to appropriate action including termination of services where appropriate.

Complaints of discrimination

4.5 Ellerman will treat seriously, and will take action where appropriate concerning, all complaints of discrimination or harassment on any of the forbidden grounds made by employees, consultants, clients, or other third parties.

4.6 All complaints will be investigated in accordance with the our grievance or complaints procedure and the complainant will be informed of the outcome.

Monitoring and review

4.7 We will monitor and review this policy on a regular basis (and in any event at least annually) to measure its progress and judge its effectiveness. In particular, we will, as appropriate, monitor and record:

• (a) The gender, ethnic composition and age of the workforce as well as the number of disabled staff, at different levels of the organisation
• (b) The ethnicity, gender, age and disability of all applicants, short-listed applicants and successful applicants for jobs and training contracts
• (c) The ethnicity, gender, age and disability of all applicants for promotion and training opportunities and details of whether they were successful.
• (d) Where it is possible to do so, and where doing so will not cause offence or discomfort to those whom it is intended to protect, the sexual orientation and religion or belief of all consultants and staff will be monitored so as to ensure that they are not being discriminated against in terms of the opportunities or benefits available to them.  We are however aware that staff and participants may choose not to disclose their sexual orientation or religion or belief and care will be taken to avoid inadvertent discrimination in such cases.
• (e) The number and outcome of complaints of discrimination made by staff, clients, participants and other third parties.