In providing services to its clients, DJ Mackay & Partners LLP (trading as UNIONLINE SCOTLAND) is bound to comply with applicable Law and Regulatory Requirements. Notwithstanding the disclaimer in our Website Terms and Conditions, such obligations apply to our work for clients and take precedence over any contractual arrangement between DJ Mackay & Partners LLP and its clients. The following pages set out those requirements and certain information we are obliged to give clients.
UNIONLINE SCOTLAND and ULS means DJ Mackay & Partners LLP, a limited liability partnership registered in Scotland whose registered office is 4th Floor, Fountain House, 1-3 Woodside Crescent, Glasgow, G3 7UJ, company registration SO305202.
DJ Mackay & Partners LLP is an outsourced agent of UNIONLINE. Trade Union Legal LLP, trading as UNIONLINE, Registered Office: PM House, 250 Shepcote Lane, Sheffield, S9 1TP, is authorised and regulated by the Solicitors Regulation Authority, ID Number 608309, which is the independent regulatory body of The Law Society. Click here for the current regulatory requirements imposed by the Solicitors Regulation Authority. VAT number 183 0987 80
Telephone calls to UNIONLINE SCOTLAND will initially be dealt with by UNIONLINE at their Sheffield offices.
Professional Indemnity Insurance
The Provision of Services Regulations 2009 require us to notify details of the insurers who provide DJ Mackay & Partners LLP (trading as UNIONLINE SCOTLAND), its partners, staff and connected entities with professional liability insurance cover that we, as a firm of solicitors practising in Scotland, are obliged to hold by the Law Society of Scotland. The qualifying insurers are RSA Group, Professional & Financial Risks, Alexander Bain House, 15 York Street, Glasgow.
There are several items of legislation aimed at preventing money laundering and terrorist financing activities and enabling prosecutions to be brought. In terms of the controls required by financial businesses and law firms, the important legislation (which apply to any proceeds of crime, however minor) comprises:
- The Proceeds of Crime Act 2002
- The Money Laundering Regulations 2007; and
- The Serious Organised Crime and Police Act 2005
In order to comply with these Acts, there will be occasions when we will be obligated to undertake client due diligence measures and ongoing monitoring for both new and existing clients and we may need to verify the identity of prospective clients before accepting them as new clients. Due diligence may be carried out on connected parties such as the beneficial owners of a client as part of the verification process. Accordingly, we ask clients to provide any verification information we request promptly.
Under the provisions of the Proceeds of Crime Act 2002, we may be obliged to make a report to the relevant authorities (such as the National Crime Agency) if at any time we become aware of or suspect (whether from the client concerned or any other person) the existence of proceeds of crime in relation to any services on which we are engaged. Our obligation to make such a report will, in certain circumstances, override our duty of solicitor/client confidentiality and we may not be permitted to inform the client concerned whether or not we have made, or might intend to make, such a report.
We may terminate the provision of any services to a client, or be instructed to do so by the relevant authorities, if such client fails to provide evidence of identity or if we suspect that the client or any other party connected with such client or with the matter is involved in activities prescribed by the Proceeds of Crime Act 2002.
We are committed to preventing bribery and corruption and have a zero tolerance policy to it. It is our policy to comply with the Bribery Act 2010 and we have in place procedures designed to prevent our partners, directors, employees and associated persons such as agents and contractors from engaging in any activity which would constitute an offence under the Bribery Act 2010.
These procedures include the carrying out of appropriate due diligence when required and the making and keeping of records in relation to gifts and hospitality (whether accepted or declined) sponsorship and advertising.
Confidentiality and Disclosure
We owe an overriding duty of confidentiality to our clients and former clients. Where we have a duty to disclose information to a client that duty does not extend to disclosing or taking into account any information in respect of which we owe a duty of confidentiality to another prospective, existing or former client. As a consequence, where we are aware of any information confidential to one client which is material to another client’s matter, such information will remain confidential regardless of the duty of disclosure owed by us to such other client and we will only act or continue to act for both clients where we are permitted to do so by our regulatory requirements.
Conflicts of Interests
Before accepting instructions we carry out a thorough standard conflict checking process, to ensure that no conflict of interests exists between us or another client in relation to the instructing client or the matter concerned.
DJ Mackay & Partners LLP is a data controller registered with the UK Information Commissioner. We shall process any personal information you provide to us or which we obtain in connection with providing our services to you (Personal Information) in accordance with our obligations under the Data Protection Regulations, other relevant legislation and our data protection registration.
We may use any Personal Information for the following purposes:
(a) the provision of our services to you;
(b) disclosure to other advisers working for you on the same matter;
(c) fraud prevention, anti-money laundering purposes, anti-bribery purposes and/or generally for the
prevention or detection of crime;
(d) to ensure the safety and security of our people and premises (where we also use CCTV);
(e) to administer your account with us, including tracing and collecting- any debts;
(f) to conduct specific tests on our existing or new systems, networks, applications or software;
(g) advertising, marketing and public relations, including sending you direct marketing communications;
(h) to manage our business performance, to assess client satisfaction (such as by asking you to participate in
surveys) and generally to help improve our services;
(i) disclosure to our auditors, own legal and other professional advisors;
(j) for disclosure to our insurers and insurance brokers;
(k) as otherwise required by Regulatory Requirements; and
(l) where you have given your written consent to such disclosure
We may give Personal Information on a confidential basis to other third parties involved in the activities detailed above. We may also transfer any Personal Information to panel law firms or other third parties when required for the activities detailed above. We may allow DJ Mackay & Partners LLP individuals and other third parties involved in the activities detailed above to remotely access Personal Information. In such cases we will take appropriate reasonable technical and organisational measures to protect any Personal Information accessed or transferred against unauthorised or unlawful processing, its accidental loss, destruction or damage. For any queries on this, including to exercise the right of access to Personal Information we may hold about you or to have inaccurate information about you corrected please contact our Data Protection Manager at email@example.com. Subject Access requests should be put in writing and addressed to the Data Protection Manager at UnionLine Scotland, 4th Floor, Fountain House, 1-3 Woodside Crescent, Glasgow, G3 7UJ.
If you do not wish to receive direct marketing communications from us, you must let us know in writing, addressed to us at any of our offices or by sending an email to firstname.lastname@example.org.
Financial Services and Insurance Mediation
We are not authorised by the Financial Conduct Authority (“FCA”) under the Financial Services and Markets Act 2000 (“FSMA”). We are licensed to carry on incidental financial business by the Law Society of Scotland under the Solicitors (Scotland) (Incidental Financial Business ) Practice Rules 2004. We may provide certain limited investment advice services and insurance mediation where these are closely linked to the work we are doing for you. Regulation relating to these activities is the responsibility of the Law Society of Scotland. If you are unhappy with any investment advice you receive from us you should raise your concerns with us initially but if you are still not satisfied you may then refer the matter to the Scottish Legal Complaints Commission who are an independent complaints handling body.
General Client Account
In the ordinary course when we act for you we will hold any money of yours in our general client account on your behalf. When we pay out funds or on completion of the matter, we pay you interest on the sums we have been holding except:
- where the amount of interest likely to be earned is less than £100
- where otherwise agreed by you