Richard Nelson LLP Terms and Conditions of Business

1. What is this document?

These terms and any accompanying letter which we send to you apply to our services to you. Nobody is authorised to alter these terms other than in writing.

2. RNS people

The name and status of the lawyer working for you is set out in the accompanying letter. Some cases are so voluminous or complex that other lawyers from the firm will have to work for you as well. In some cases, there are tasks which can be undertaken by less senior lawyers within the firm which will effect a saving in the costs chargeable to you. The charging rates for each grade of lawyer within the firm are set out in the accompanying letter.

Occasionally, we may need to pass the overall supervision of your matter to another lawyer in the firm. You will be informed of this as soon as possible and given the opportunity to consider whether this is acceptable to you.

The lawyer in overall charge of your matter is also named in the accompanying letter. If you encounter any problems with your matter, try to resolve them with this person first. If the problem is not solved, refer direct to the firm’s client relations solicitor who will look into the matter for you and try to resolve the problem to your satisfaction.

This firm has a policy for promoting equality and diversity. A copy of this policy is available upon request.

3. Funding/The cost of our services

This firm enjoys the Legal Services Commission’s Specialist Quality Mark in respect of criminal matters. This firm is also a member of the Specialist Fraud Panel and Very High Cost Cases (Criminal) Panel which entitles us to deal with very high cost criminal cases which are publicly funded.

We are prepared to act in cases where legal aid has been granted subject to review on a case by case basis. The firm has a particular expertise in respect of certain types of criminal regulatory cases. Unless we advise you to the contrary, we will be prepared to act in criminal cases with the benefit of legal aid.

In respect of civil cases, we do not generally accept instructions to act in legally aided cases. We will review this on a case by case basis and advise you whether we feel it is appropriate to act in such cases.

Please note that there are a number of alternative forms of funding available to clients. We will be happy to offer further explanation if it is required but you are always at liberty to consider these different options, even if it means that we are not able to conduct your case.

Please be aware that you should check whether any third parties or organisation of which you are member, such as a Union or trade association, may be prepared to offer funding under the terms of your membership. You may have the benefit of legal expense insurance under the terms of an insurance policy. In the event that you have legal expense insurance, please note that various exclusions may apply. Legal expense insurers usually have their own Panel of Solicitors and may require you to transfer your instructions to these Solicitors in order to receive cover. Please note that it is open to you to insist that you use the Solicitors of your choice and please consult us if you are considering this option.

It is possible to obtain funding on a deferred fee basis (where payment is made at the conclusion of the case) or on a conditional fee arrangement where the Solicitor agrees to undertake the work and only receives payment in the event that the claim is successful. In exchange for accepting this risk, a higher fee is charged in the event of success. Please note that we do not offer deferred or conditional fee arrangements.

It is sometimes possible to insure against the costs of the case. This is known as “after the event insurance” and will depend upon an assessment by the insurance company of your chances of success. Insurance companies will not always accept the risk and as with legal expense insurance they may seek to require you to instruct one of their Panel firms of Solicitors. Please discuss this option with us further if you wish to explore it.

Please note that a party who agrees to fund civil proceedings may render themselves liable for the costs of the other party in the event that the case is unsuccessful. Where a third party agrees to pay all or part of our costs, please note that the client and the third party are jointly and severally liable to pay our costs.

Generally speaking, we believe that it is preferable for a client to understand the element of the costs that they are likely to bear. We will seek to provide clear and full information at relevant stages in the case but if, at any stage, you require more information about your likely commitment to fees or matters of payment, please do not hesitate to contact us.

In certain circumstances, Solicitors are entitled to charge contingency fees. These are not allowed in connection with litigation. The contingency fee is an agreement where a Solicitor agrees to take a proportion of the amount gained by the client as his fee or as his success fee. Special terms may apply. These should be considered on a case by case basis.

Please note that we are required to provide you with costs and funding information under our Professional Conduct Rules. Should you require any further information, please feel free to ask.

The firm operates a range of methods for calculating the price for our services, all of which are within Solicitors Regulation Authority guidelines.

The method applying to your case will depend on the nature of the matter and our estimate of what work is likely to be involved. If you are a private individual, your lawyer has considered with you whether your circumstances and the nature of your matter qualify for payment for all or part of our services with assistance from the Legal Services Commission. This is what was once called legal aid. If you qualify, see paragraph 5 below.

Whether you are a private individual or a commercial concern, you should consider whether your fees and expenses can be fully or partially financed from any other source, such as a trade association or through legal expense insurance.

If your fees and expenses are to be paid by a third party or from another source, because our contract is with you, we reserve the right at our discretion to require you to fund your matter in accordance with the remainder of these terms and conditions.

Fixed price

We may agree with you a fixed price. This will be what you pay unless any circumstances arise which were not known about when the price was fixed. However, many of the matters we deal with are too complex for a fixed price to be offered.

Normal charge basis

In many matters, we cannot know in advance precisely what work is going to be involved. We do give you best information about likely costs at the beginning of the matter and at intervals while the matter proceeds.

Our fees are calculated on an hourly rate multiplied by the number of whole or part hours spent. Fees cover all work done including, for example, time spent on meetings with you and others (including other Solicitors from other firms or from this firm); preparing documents, preparing advice, on reading and preparing documentation including letters, on telephone calls made and received, on considering and researching information relevant to your case, and any other activity necessary to progress your matter. Work is charged for in units of time. Each unit represents 6 minutes, therefore 10 units equals 1 hour. Part units will be rounded up. Routine letters and telephone calls made or received are each charged as one-tenth of an hour.

The hourly rate for your lawyer is set out in the accompanying letter as are the rates of others who may work on your matter. We reserve the right to allocate other people to your matter if we think it necessary in your interests to do so.

Sometimes, we have to increase those rates. Our rates will be reviewed annually and we will notify you in writing before the increase applies.

The hourly rate may also be adjusted to reflect unusual skill, level of responsibility, exceptional value of our work to you, working unsocial hours or unusual speed applied to your matter.

In some types of matter, the charge may include an additional element reflecting the value of the property or assets involved.

Taxes and expenses

None of our rates, estimates or charges include VAT which will be charged in addition at the rate prevailing at the time of the provision of our services.

Nor do they include any payments which we may need to make on your behalf.

We reserve the right to make a separate charge for exceptional amounts of copying, or for courier services, faxes, postal charges, telephone charges incurred in respect of your matter.

By instructing us, you give us authority to incur and pay reasonable expenses for the proper conclusion of the matter including the instruction of experts, Counsel, company or local agents, search fees, travelling expenses and the cost of any other services reasonably required. We will endeavour to inform you of such payments in advance where possible.

Fees and expenses of other parties or prosecuting authorities

Sometimes, you may be required to pay the fees and expenses of another person or body involved in your matter. These are payable in addition to your own fees and expenses.

In some criminal or motoring matters where you are convicted following either a guilty plea or a not guilty plea, you may be ordered to pay towards the fees and expenses of the prosecution. Again, these are payable in addition to anything payable by you to us.

Even if you have the benefit of legal aid (see below), you can be ordered by the Court to pay all or part of the costs of your defence, particularly if you do not comply with the provision of information to the Legal Services Commission. This payment will be due by you to the Legal Services Commission or the Court.

Again, these are payable in addition to anything payable by you to us.

4. Payment for services

We have agreed a funding plan with you. Where you do not have the benefit of legal aid, we will usually request payment on account of fees and expenses from you. In such cases, or where you are making instalment payments under that plan, we will formally reconcile your account at intervals and account to you on an interim basis.

We will also seek to keep you informed of any changes in our original estimate of what your matter will cost.

In many cases, it is impossible to provide any meaningful estimate of the overall costs and we will seek to agree a limit of costs to be incurred which limit is not to be exceeded without your prior knowledge and consent. Where such a ceiling has been fixed and an interim bill has been raised, that ceiling on costs will be the figure not to be exceeded between the last interim bill delivered and the next. As such, it is a rolling ceiling for work being undertaken.

Where a bill of costs is delivered to you on a final or interim basis, we will deduct from the bill the value of payments received from you in the meantime.

Any failure by you to pay any amount or instalment required or to pay an invoice in accordance with our normal terms of payment entitles us either not to start or to stop work on your matter and to stop implementing your instructions until payment in full is received.

Payments of bills should be made within 7 days of delivery of the bill. If any other payment due or required is not made, a final account will be sent for payment in accordance with our normal terms.

If we are holding any money or property on your behalf, we shall be entitled to deduct what is due to us from that matter or to retain that property until payment is made. Interest will be charged at 4% over the base rate applicable from time to time by Royal Bank of Scotland plc from the date of delivery of all accounts where payment is not made within 14 days.

Our charges and expenses will be payable whether or not the matter is successfully concluded.

Fees recovered

Whilst you are liable to us for payment of your fees and expenses, if you are entitled to the reimbursement by some other party for fees and expenses incurred, the value of the reimbursement is reached either by agreement or assessment by the Court. It is rare for this sum to be sufficient to reimburse you in full. The assessment process requires that we devote time and work towards recovering monies on your behalf and unless otherwise agreed this will be charged on the same basis as for your matter.

Your acceptance of these terms and conditions also signifies your agreement that you are liable to pay our charges and expenses at the rates agreed with you and not as limited by section 74(3) Solicitors Act 1974 and not by reference to any of the principles concerning fees and expenses laid out in the Civil Procedure Rules 1998 (as to which further see paragraph 6 below).

Disputes over bills

You have the right to challenge certain aspects of our charges.

In matters not involving issued High Court or County Court proceedings by requiring us to obtain a “remuneration certificate” from the Legal Complaints Services certifying that the sum charged in that bill is fair and reasonable and if it is not what is a fair and reasonable sum, or by applying to the Court within 28 days under the Solicitors Act 1974 for our bill of costs to be assessed by a Costs Judge. This procedure is available in relation to any matter whether Courts are involved or not.

See our bill for further details.

You are entitled to request that we present you with an itemised breakdown of the time spent and we will be happy to do this upon request. However, please note that if, as a result of this itemised breakdown, it is seen that the work undertaken justifies a higher charge than that figure contained in the bill already delivered to you, we are at liberty to substitute that higher charge for the services we have provided.

See our bill for further details.

5. Legal Aid

If your matter is financed fully or partly by legal aid, terms and conditions may differ according to the type of matter and legal aid cover which applies.

Cases under the Criminal Contract

Advice and Assistance

This Scheme allows free advice to everyone at Police Stations and, subject to financial eligibility, a limited amount of free advice other than that at a Police Station. Representation in the Court room is rarely covered by advice and assistance except in certain specific circumstances.

Representation before a Magistrates’ or Crown Court

Representation is free, although the Court has the power to order you to pay some or all of your own legal aid fees during or at the end of your case. This full legal aid? is provided under a “Representation Order”.

Full legal aid covers the cost of your case only from the date that a fully completed and valid application form is received and processed by the Court. It covers work carried out for the matters stated in the order. For other work, unless you qualify for free advice and assistance, we will charge you in accordance with our normal charge basis described in paragraph 3.

An application for full legal aid may be refused by the Court in which case we will advise you about what you can do.

If full legal aid is withdrawn, refused or revoked, we cannot represent you further under it. Depending upon your finances, you may still be eligible for free advice and assistance but that never allows representation at Court hearings. If you wish us to continue acting for you, then for Court hearings (and for all work if you do not qualify for free advice and assistance or once any limits have been exceeded), our normal charging basis as described in paragraph 3 will apply.

If you plead guilty or are found guilty of any offence, the Court can order you to make a payment towards the prosecution fees.

The Court also has the power to order you to make a contribution towards the costs of your own defence at the end of the case.

6. Litigation matters

The Civil Procedure Rules 1998 (“CPR’s”) apply to most litigation matters.

Statement of Truth

The CPR’s require some documents prepared before or during Court proceedings to be verified by a statement of belief on the part of the signatory of the document that it is believed that the facts set out are true. Lack of truth may subject the signatory to proceedings for contempt of Court which may result in a fine or prison sentence. Where we sign such statements on your behalf, we will be certifying only that you believe the facts stated to be true and under no circumstances will we be certifying them as true within our own knowledge.

If you are a limited company, your instructions will act as your authority to any person giving us those instructions on your behalf to make statements of truth on your behalf.

Documents

The CPR’s require you to search for, locate and disclose originals or copies of documents relating to the matter. It is a condition of us acting in your matter that you will let us have all the documents relating to your matter as we may from time to time require you to produce. In the event that you fail to comply with any such requirement, we may decline to act for you further in that matter and other matters and you will be liable to pay our charges and expenses as set out in clause 4.

Attendance at hearings and meetings and complying with the requirements of the Court

From time to time, the Court may ask you directly or through us to attend hearings or meetings arranged in connection with your matter or to take certain steps or produce written or other materials relating to the matter. Failure to comply may result in your matter being stopped or some financial penalty being imposed on you by the Court. After giving you written notice, if that failure persists, we reserve the right to withdraw from further acting for you implementing your instructions. You will be liable to pay our charges and expenses as set out in clause 4.

Other fees and expenses

The Court has power to order parties to litigation matters to pay fees and expenses of their opponent as the matter progresses. Failure to pay may result in you not being able to participate further in the matter or financial penalties being imposed or steps being taken by your opponent to enforce the order for payment by seeking the seizure and sale of your assets, an attachment of part of your earnings or taking steps to make you bankrupt or put you into liquidation. In that event, we reserve the right to withdraw from acting further for you and not to implement your instructions concerning the matter. Notice of this will be given to you in writing and you will be liable to pay our charges and expenses as set out in clause 4.

Settlement of dispute before or during proceedings

Before allowing you to claim or defend any proceedings or to continue to claim or defend them, the Court may require you to satisfy it as to the steps you have taken to settle the dispute with your opponent. Failure on your part to attempt a reasonable settlement of the dispute may result in financial penalties being imposed on you by the Court.

Whilst we will from time to time, and as appropriate, raise with you the possibility of such settlement, the primary responsibility for protecting yourself against such financial penalties is yours and not ours.

7. Interest on money we hold for you

Interest will be calculated and paid to you in accordance with the Solicitors Accounts Rules unless we have agreed with you to the contrary. Subject to conditions as to minimum amounts and time set out in those Rules, interest will be calculated and paid at the rate you could obtain from time to time payable by Royal Bank of Scotland plc applicable to the exact sum held on your behalf. Periods for which interest will be paid will normally run from dates on which cleared funds are received by us until the date of any issue of any cheques.

8. Financial services and investments

We are not authorised by the Solicitors Regulation Authority or by the Financial Services Authority to conduct investment business.

9. Store of papers, deeds and other documents

We will retain your file of papers following the conclusion of your matter for such period as we deem appropriate following which the file will be destroyed. We reserve the right to require you to take personal custody of any papers.

Where we provide storage for documents, we will not normally charge you for that storage, although we reserve the right to do so.

10. When do these conditions apply?

Subject to any variation agreed between us or to being superseded by a fresh set of terms and conditions, these terms and conditions will apply to all instructions for any new or separate matters or matter received from you in the future.

Unless you withdraw your instructions in writing immediately on receipt of these terms and conditions, you will be deemed to have accepted them as applying to your current instructions and any which may arise on this or any separate matter or matters in the future.

11. Your right to cancel our services

The Distance Selling Regulations 2000 give you the right to cancel your instructions up to 7 days after you have given them. This right does not apply if our service to you has already commenced.

Where you confirm your instructions to us over the telephone, by fax, by post, by email or via our websites, our service to you will commence immediately upon our acknowledgement of your instructions and the 7 day cooling off period will not apply.

You also agree that the normal 30 day period during which services are to be provided under these regulations shall not apply. The reason for this is that in most cases it is impossible for us to conclude your matter within that time period for reasons beyond our control. If appropriate, you will have been given at the outset an estimate of the period of time during which we hope to conclude your matter. You accept that it may be necessary for us to revise this estimate as your matter progresses. In any event, we will review this estimate at least once every 6 months.

12. Contracts (Rights of Third Parties) Act 1999

For the avoidance of doubt, these terms and conditions do not confer on any third party any benefits or any rights.

13. Money Laundering and Terrorist Financing

We are professionally and legally obliged to keep your affairs confidential. However, solicitors may be required by statute to make a disclosure to the Serious Organised Crime Agency where they know or suspect that a transaction may involve money laundering or terrorist financing. If we make a disclosure in relation to your matter, we may not be able to tell you that a disclosure has been made. We may have to stop working on your matter for a period of time and may not be able to tell you why. An acceptance of our terms and conditions gives consent by you for us to comply with a number of duties and obligations set down in law without obliging us to notify you of such compliance. In addition, we have in place a limit on the amount of cash that we can accept for payment of a bill or on account of costs, which is £500.00 plus VAT.

14. Limitation on liability

We carry professional indemnity insurance giving cover of £5million for any one claim to provide security to our clients against professional negligence. The firm does not accept liability for any loss or damage in excess of the level of our insurance cover unless we have agreed a special arrangement with you at the outset of your matter. If you believe that an error or negligence on our part will cause you to experience losses in excess of ?5million, you are asked to draw this to our attention.

15. Recording of telephone conversations

The firm does not have a general policy of recording telephone conversations. However, there may be occasions when for reasons of training, security or evidence, we do record telephone conversations. The application of these terms and conditions to your matter will be taken as your consent to this.

16. Data Protection Act 1998 and Data Protection Policy

We need to collect and process certain information about our clients in order to give them correct legal advice and to comply with our obligations to the Solicitors Regulation Authority, the Legal Services Commission or the Court. Although sometimes this information is of a sensitive or personal nature, we only process it if it is necessary for the furtherance of a client?s case or we consider it might be useful to enable us to identify clients who may wish to be made aware by us of any developments which might affect them at any time in the future.

This personal information must be dealt with properly however it is collected, recorded and used – whether on paper, in a computer or recorded on other material – and there are safeguards to ensure this in the Data Protection Act 1998. These safeguards are in addition to the normal duties of confidentiality which we as Solicitors owe to our clients.

We regard the lawful and correct treatment of personal information as very important to successful operations and to maintaining confidence between those with whom we deal and ourselves. Therefore, we ensure that we treat personal information lawfully and correctly.

To this end, we fully endorse and adhere to the principles of data protection as enumerated in the Data Protection Act 1998.

By signing these terms and conditions you are giving your explicit consent to us to process such information for the purposes of your case and by sending you our marketing or promotional material to enable us to make you aware of legal developments in the future.

If you do not wish to receive such material in the future, please put a cross in the box below.

17. Vetting of files and confidentiality

External firms or organisations may conduct auditor quality checks on our practice. These external firms or organisations are required to maintain confidentiality in relation to your files.