UK Legal Notice and Privacy Notice
Legal Notice
FisherBroyles UK LLP (“FisherBroyles UK”) is a limited liability partnership registered in England, with registered number OC426505, and registered office at Tower 42 – Fifth Floor, 25 Old Broad Street, London EC2N 1HN UK. A list of members of FisherBroyles UK is available for inspection at that address. FisherBroyles UK is connected with its affiliate in the US, FisherBroyles LLP, although they are two separate legal entities. The word “partner” denotes a member of FisherBroyles UK or an employee or consultant with equivalent standing and qualifications.
FisherBroyles UK is authorised and regulated by the Solicitors Regulation Authority of England (“SRA”) with the SRA number 658162. The SRA Standards & Regulations 2019 set out our professional and ethical rules and obligations (including the SRA Codes of Conduct and SRA Accounts Rules) and can be viewed at www.sra.org.uk
Information for our clients
We have set out below some additional information which we are obliged to provide to clients (as provided for in our standard Terms of Business).
Professional Indemnity Insurance
Pursuant to the disclosure requirements of the Provision of Services Regulations 2009, our primary layer professional indemnity insurer is Hamilton Syndicate 4000, Level 3, 8 Fenchurch Place, London, EC3M 4AJ, United Kingdom.
Financial Services and Markets Act 2000
Any advice which we provide is restricted to legal advice. We do not advise on the merits of financial products or investment transactions. No communication from us should be considered to be an invitation for you to engage in any kind of regulated investment activity.
We are not authorised by the Financial Conduct Authority (the “FCA”) under the Financial Services and Markets Act 2000 (the “FSMA”). However, as noted above, FisherBroyles UK is authorised and regulated by the SRA. The Law Society is a designated professional body for the purposes of FSMA, but responsibility for regulation and complaints handling has been separated from the Law Society’s representative functions. The SRA is the independent regulatory body of the Law Society and the Legal Ombudsman deals with complaints about lawyers registered in England and Wales. In light of this, we can provide investment-related services (including insurance distribution activities) if they are an incidental part of the professional services we have been instructed to provide, if they can reasonably be regarded as a necessary part of our professional services or if we are otherwise permitted to provide them under FSMA.
For the purpose of insurance distribution activities (broadly, advising on, selling and the administration of insurance contracts), we are listed on a register maintained by the FCA and are permitted by the FCA to carry on insurance distribution activities. This register can be accessed via the FCA website at www.fca.org.uk/register.
Anti-money laundering
We may require clients to provide documents and information concerning the contracting client entity and related persons, entities or affiliates as set out, in order to comply with relevant anti-money laundering laws and regulations. We may be prevented from carrying out your instructions if we are unable to meet our requirements, which often include verifying the identities of your ultimate beneficial owners.
Where we have reasonable evidence to know or suspect that a transaction involves criminal proceeds, we may be required by law to make a disclosure, of otherwise confidential information, to the National Crime Agency (“NCA”). In this event, and where we have determined that is necessary to make a disclosure, we may not be able to inform you that a disclosure has been made or the reasons for it, and we may in such circumstances have to cease acting for you. We will tell you about any potential money laundering problem and explain what actions we may need to take but only where the law permits us to do so. We shall have no liability to you in relation to our duties to comply with such legislation.
Consumer Contracts Regulations 2013
If you have instructed us as an individual to act for you in your personal capacity (not in any business or professional capacity), under the Consumer Contracts (Information, Cancellation and Additional Charges) Regulations 2013, you have a 14-day cooling-off period during which you may decide to cancel your contract with us. If you expect us to provide advice and services during that 14-day period but also wish to cancel your contract during that period, you agree that you will be liable for any fees or expenses chargeable for legal advice and services incurred up to and including the date of cancellation. If you would like further information, including a template cancellation form, please contact us. Alternatively, any request to cancel your contract for the supply of our legal services in respect of your matter should be provided to us clearly in writing to the attention of the person with whom you are working or corresponding without delay.
Anti-bribery and corruption
It is our policy to always act in accordance with the highest professional, ethical and business standards, and we expect the same from our clients and their related persons, entities or affiliates. We have a zero-tolerance approach to bribery or corruption and you agree not to expect or request any conduct from us that might bring our name into disrepute or compromise our integrity and independence and that you or your related persons, entities or affiliates will refrain from any practices involving bribery or any other corrupt activities.
Client audit and reference requests
Whilst we are not obliged to, we may at our discretion, respond to reasonable requests for information from a corporate client’s auditors if the directors of the company authorise us in writing to do so.
Any response we provide will be in accordance with the Law Society’s guidelines for dealing with audit letters. We will confirm the amount of any costs and expenses which are due to us, whether we are holding documents and, if so, whether they are held by us as security for our own costs. Non-specific enquires as to our awareness or otherwise of contingent liabilities or litigation or breach or potential breach of regulations and rules relating to the client’s business will not be answered. Where the directors have in writing estimated the amount of such liabilities on a specific matter in respect of which we are instructed, we may be prepared to comment upon the directors’ estimate if the directors so request. The time we spend responding to an audit letter will be charged at the appropriate hourly rate. We do not provide bank or other references.
Managing complaints
If you wish to make a complaint about FisherBroyles UK then, in the first instance, please contact the person with whom you are working or corresponding to set out your concerns. We will do our best to resolve any issues at this stage and, if applicable, will confirm our complaints handling procedure in writing (which is available to clients at any time on request).
If you are not satisfied with our attempt to handle and resolve matters, you may be able to ask the Legal Ombudsman to consider the issue (write to: PO Box 6167, Slough, SL1 0EH; or email: [email protected]; or phone 0300 555 0333). Any such complaint to the Legal Ombudsman should be done within six months of our final response to your complaint and within one year of the act or omission that caused the complaint or, if outside this period, within one year of when you should reasonably have known about the relevant act or omission.
The Legal Ombudsman may refer your complaint to the SRA if they are not the correct body to consider the matter, as the Legal Ombudsman’s services are only available for certain types of complaints and complainants. For full details, please see: https://www.legalombudsman.org.uk/make-a-complaint/ and https://www.sra.org.uk/consumers/problems/report-solicitor.page.
Note also that if you are a client and your complaint is about our invoices, you may also apply to the court for an assessment of the bill under Part III of the Solicitors’ Act 1974. If all or part of any bill remains unpaid, we may be entitled to charge interest.
VAT Registration
FisherBroyles UK is registered for VAT purposes under number 334 6277 94.
Privacy Notice
Scope
This Privacy Notice (“Notice”) describes how FisherBroyles UK LLP collects and uses your Personal Data pursuant to the United Kingdom General Data Protection Regulation (“GDPR”) and other applicable data protection and privacy legislation. It also demonstrates compliance with the principles and obligations of the EU General Data Protection Regulation. It tells you what Personal Data we collect, why we need it, how we use it and what safeguards are in place to keep it secure.
Key Terms
“FisherBroyles”, “we”, “us”, and “our” refers to FisherBroyles UK LLP and also to its affiliate in the US, FisherBroyles LLP, to the extent that it is subject to the GDPR.
“FisherBroyles Personnel” means FisherBroyles’ prospective, present and past partners, employees, consultants and agency staff, and people connected to such persons.
“Personal Data” means information about individuals (including you), and from which such individuals could be identified.
“You” means individuals whose Personal Data we process, including but not limited to, FisherBroyles’ clients, FisherBroyles’ client personnel, counter-parties, counter-party personnel, other solicitors / advisors, witnesses, suppliers, supplier personnel, job applicants and individuals to whom we send marketing communications. “You” does not include FisherBroyles Personnel.
Data Controller
FisherBroyles is the Data Controller in relation to your Personal Data and is committed to protecting the privacy rights of individuals, including your rights.
Data Protection Manager
FisherBroyles is not required under the GDPR to appoint a Data Protection Officer and, following a detailed analysis, does not consider it appropriate to do so on a voluntary basis.
Neither is FisherBroyles required to appoint an EU Representative under Article 27 of the EU General Data Protection Regulation.
FisherBroyles has however, appointed General Counsel as Data Protection Manager (“DPM”), Kevin Broyles, who is responsible for overseeing FisherBroyles’ compliance with the GDPR and any other applicable data protection legislation and regulation.
The DPM can be contacted at [email protected].
In addition, our Compliance Officer for Legal Practice (“COLP”) oversees compliance with our professional responsibilities and with legislative requirements.
How does FisherBroyles obtain your Personal Data?
In some circumstances, we may obtain your Personal Data from you directly including through your use of this website or a job application but, more typically, we will obtain your Personal Data from a third-party source, for example, we may collect information from our clients / our clients’ personnel, agents and advisors, other law firms / advisors which represent you, the company for whom you work, other organisations / persons with whom you have dealings, government agencies, credit reporting agencies, recruitment agencies, information or service providers and publicly available records.
What about Personal Data which you provide to FisherBroyles?
If you provide information to us about someone else (such as one of your associates, directors or employees, or someone with whom you have business dealings) you must ensure that you are entitled to disclose that information to us and that, without our taking any further steps, we may process that information in accordance with this Notice.
What Personal Data does FisherBroyles collect from and about you?
We collect and use different types of Personal Data about you, which will vary in type and detail depending on the circumstances and purpose of processing. Please consider the following illustrative and non-exhaustive examples:
• Personal Data about you: name, address, date of birth, marital status, nationality, race, gender, preferred language, job title, work life and restrictions and / or required accommodations, possibly about your family life;
• Personal Data to contact you at work or home: name, address, telephone, and e-mail addresses;
• Personal Data which may identify you: photographs and video, passport and / or driving license details, electronic signatures;
• Personal Data to process any payment we might need to make to you: bank account details, HMRC numbers and references (where applicable); and
• Personal Data to monitor your use of our website: IP address, traffic and location information, weblogs and other communication information.
Why do we need to collect and use your Personal Data?
We need to collect and use your Personal Data for a number of reasons, the primary purpose being to provide legal advice and services to our clients and which may involve the use of your Personal Data in the following (non-exhaustive) ways:
• to contact you if you are involved in a matter we are undertaking for a client, whether in your professional or personal capacity;
• to carry out investigations, risk assessments and client due diligence;
• to analyse the practices of your employer or other organisations and / or persons with whom you have dealings;
• to review, draft and disclose correspondence and other documents, including court documents;
• to instruct third-parties on behalf of our clients; and
• for comparison / analytical purposes and to formulate legal opinions and provide advice.
We may also process your Personal Data for effective business management purposes which may involve the use of your Personal Data in the following (non-exhaustive) ways:
• to engage and contact suppliers;
• to carry out internal reviews, investigations, audits;
• to conduct business reporting and analytics;
• to advertise and market the services that we provide;
• to help measure performance and improve our services;
• for recruitment purposes;
• for regulatory and legislative compliance and related reporting; and
• for the prevention and detection of crime.
What is FisherBroyles’ legal basis for processing your Personal Data?
Under the GDPR, FisherBroyles must identify a lawful basis for processing your Personal Data which may vary according to the type of Personal Data processed and the individual to whom it relates.
– Performance of a contract with you (where applicable):
FisherBroyles is entitled to process the Personal Data it requires in order to fulfil its obligations under its contract with you. This will be the relevant legal basis if you are an individual client or supplier / other individual with a direct contractual relationship with FisherBroyles.
– Legitimate interests of FisherBroyles or a third-party:
We process some of your Personal Data on the basis that it is in our legitimate interests and / or the legitimate interests of a third-party to do so. This will primarily concern the processing of Personal Data that is necessary to provide legal advice and services to our clients. FisherBroyles’ legitimate business interest in such instances is the proper performance of its function as an authorised and regulated provider of legal services. FisherBroyles’ clients also have a legitimate interest (and more general right in law) in obtaining legal advice and services.
FisherBroyles’ broad interest in the provision of legal services as a basis for processing your Personal Data, and our clients’ corollary interest in the receipt of such services, can be broken down into more discreet categories which may include, but are not limited, to:
• the interest in contacting individuals relevant to FisherBroyles’ work and our clients’ matters, which may involve the use of your Personal Data;
• the interest in reviewing documents and correspondence that have been disclosed to FisherBroyles, FisherBroyles’ clients and third-parties, which may contain your Personal Data;
• the interest in reviewing and analysing all evidence available to FisherBroyles and its clients, which may contain your Personal Data;
• the interest in adducing legal arguments, creating documents and correspondence, which may contain your Personal Data;
• the interest in disclosing documents and correspondence, which may contain your Personal Data, to various parties in the furtherance of FisherBroyles’ clients’ objectives;
• the interest in instructing third-parties on behalf of FisherBroyles’ clients;
• the interest in receiving payment from FisherBroyles’ clients and third-parties and to facilitate payments to and from FisherBroyles’ clients and third-parties; and
• in order to allow for all of the above, the secure management and storage of your Personal Data, within our IT environment and hard-copy filing systems.
FisherBroyles may also process your Personal Data on the basis that it is necessary for its legitimate business interests in the effective management and running of FisherBroyles which may include, but is not limited to: engaging suppliers and supplier personnel; ensuring that its systems and premises are secure and running efficiently; for regulatory and legislative compliance, and related auditing and reporting; for insurance purposes; for recruitment / hiring purposes; for marketing purposes; and to facilitate, make and receive payments.
FisherBroyles does not consider that the processing of your Personal Data, on the basis that it is within FisherBroyles’ legitimate interests (whatever such interests might be), is unwarranted because of any prejudicial effect on your rights and freedoms or your legitimate interests.
– Compliance with a legal obligation to which FisherBroyles is subject:
In certain circumstances, FisherBroyles must process your Personal Data in order to comply with its legal obligations. This might include, but is not limited to, Personal Data required: for tax and accounting purposes; for conflict checking purposes as required by the common law and FisherBroyles’ regulators; and for FisherBroyles to fulfil its compliance and other obligations under relevant legislation / regulation.
More information relating to legal bases for processing Personal Data can be found on the Information Commissioner’s website (see details below) or by contacting the DPM.
Special category and criminal records Personal Data
If FisherBroyles processes your criminal records Personal Data or special category Personal Data relating to your racial or ethnic origin, political opinions, religious and philosophical beliefs, trade union membership, health data, biometric data or sexual orientation, we will obtain your explicit consent to those activities unless this is not required by law (because, for example, it is processed for the purpose of exercising or defending legal claims) or the information is required to protect your health in an emergency. Where we are processing Personal Data based on your consent, you have the right to withdraw that consent at any time.
Direct Marketing
We may use your contact details to send you marketing materials, provided we are permitted to do so by law. You always have the right to unsubscribe from any marketing. You can do so by clicking on the relevant link in the next email we send you, or by contacting the DPM using the details provided.
Who receives your Personal Data?
We may disclose your Personal Data to third-parties if, but only when, we have a legal basis to do so. Such recipients include but are not limited to: co-counsel, other solicitors / barristers / experts / foreign law firms whom we instruct on your behalf; FisherBroyles’ insurance brokers and underwriters; FisherBroyles’ bank, auditors and accountants; FisherBroyles’ outsourced IT providers and other suppliers; HMRC; the SRA; the Law Society; the other side / other parties on any given matter (lay and solicitor).
How do we protect your Personal Data?
We have security arrangements in place to guard against unauthorised access, improper use, alteration, destruction or accidental loss of your Personal Data. We take appropriate organisational and technical security measures and have rules and procedures in place to ensure that any Personal Data we hold is not accessed by anyone unauthorised to access it. We have in place, and abide by, a specific information security policy about the security standards used to protect your Personal Data.
When we use third-party organisations to process your Personal Data on our behalf, they must also have appropriate security arrangements, must comply with our contractual requirements and instructions and must ensure compliance with the GDPR and any other relevant data protection legislation.
Is your Personal Data transferred to “third countries” and, if so, what safeguards are in place?
In accordance with this Notice and the provisions of the GDPR, we may transfer your Personal Data to organisations located in “third countries” (those outside of the UK). In addition to the security arrangements mentioned above in relation to our engagement of third-party organisations, where such transfers are required we will ensure that your Personal Data is adequately protected, for example, by using a contract for the transfer which contains specific data protection provisions.
The transfer of your Personal Data from FisherBroyles UK LLP to our US affiliated firm, FisherBroyles LLP, will constitute a transfer to a “third country” and, accordingly, the relevant entities have contracted on such a basis. If you wish to see a copy of this contract, please contact the DPM.
How long will your Personal Data be retained by FisherBroyles?
It is our policy to retain your Personal Data for the length of time required for the specific purposes for which it is processed by FisherBroyles and which are set out in this Notice. However, we may be obliged to keep your Personal Data for a longer period, for example, where required by our legal and regulatory obligations or in order to ensure we have effective back-up systems. In such cases, we will ensure that your Personal Data will continue to be treated in accordance with this Notice, restrict access to any archived Personal Data and ensure that all Personal Data is held securely and kept confidential.
What are your rights?
The GDPR generally affords individuals a right to access their Personal Data, to object to the processing of their Personal Data, to rectify, to erase, to restrict and to port their Personal Data.
We have specific procedures in place in relation to Subject Access Requests (“SARs”) that you may be entitled to make. Put simply, a SAR is a request made by you which requires us to provide you with details of your Personal Data which we hold and process and a description of how we process it. Any questions or requests should be put in writing to the DPM.
There are exceptions to the rights of individuals in relation to their Personal Data and, particularly when we are processing your Personal Data for the purpose of providing legal advice to our clients, your rights may be limited. We will, at all times, respect your Personal Data and seek to be as transparent as possible but please be aware that, in some instances, we may be restricted from even acknowledging that we process your Personal Data.
How to make a complaint
If you are unhappy with the information provided in this Notice or have concerns about the way in which FisherBroyles processes your Personal Data you may in the first instance contact the DPM, and if you remain dissatisfied then you may apply directly to the Information Commissioner for a decision. The Information Commissioner can be contacted at:
Information Commissioner’s Office, Wycliffe House, Water Lane, Wilmslow, Cheshire, SK9 5AF www.ico.org.uk.
We are committed to providing a high-quality legal service to all our clients. For more details, see our Complaint Handling Procedure.