"Katten" is the trading name of Katten Muchin Rosenman UK LLP and / or Katten Muchin Rosenman LLP. Katten Muchin Rosenman UK LLP is a limited liability partnership registered in England and Wales with number OC312814. Katten Muchin Rosenman UK LLP is authorised and regulated by the Solicitors Regulation Authority under SRA number 421761.
Katten Muchin Rosenman UK LLP is a separate, affiliated partnership to Katten Muchin Rosenman LLP, an Illinois limited liability partnership including professional corporations that has elected to be governed by the Illinois Uniform Partnership Act (1997). Katten Muchin Rosenman LLP's headquarters are 525 West Monroe Street, Chicago, Illinois 60661.
The use of the name "Katten" and words or phrases such as "firm", "Firm", "law firm", "network" or "international practice" is for convenience only and does not imply that all or any of such entities are in partnership together or accept responsibility for the acts or omissions of each other. Legal responsibility for the provision of services to clients is defined in engagement terms entered into between clients and the relevant Katten entity and these should be relied upon in determining liability for the services provided. Absent the explicit agreement and consent of both entities involved, no Katten entity is responsible for the acts or omissions of, nor has any authority to obligate or otherwise bind, any other Katten entity.
In order to provide our services, Katten will ask for information about you and the nature of the proposed work for the purpose of conflict checking, credit checking, client identification procedures and other bona fide purposes. This information (which may include personal data) may be disclosed to any Katten entity and/or some or all of their members for such purposes.
In relation to Katten's London Office, the term 'partner' is used to refer to a member of Katten Muchin Rosenman UK LLP or an employee or consultant with equivalent standing and qualifications. A list of the Members of Katten Muchin Rosenman UK LLP and non-members designated as Partners is open to inspection at its registered office at Paternoster House, 65 St Paul's Churchyard, London EC4M 8AB.
Lawyers based in Katten's London Office who are admitted as solicitors in England and Wales are regulated by the SRA. Certain lawyers based in Katten's London Office are not admitted as solicitors in England and Wales and are subject to regulation by the Bar Council of England and Wales or by the relevant regulatory body in their place of admission. For further information about an individual lawyer's professional qualifications, please contact the individual via the contact details contained in the People section of this website.
In accordance with the disclosure requirements of the Provision of Services Regulations 2009, details of Katten Muchin Rosenman UK LLP's compulsory professional indemnity insurance in England and Wales are as follows. Katten Muchin Rosenman UK LLP's compulsory insurers are Travelers Insurance Company Limited of 61-63 London Road, Redhill, Surrey RH1 1NA. This insurance covers the practice of Katten Muchin Rosenman UK LLP and will extend to acts or omissions wherever in the world they occur.
Katten Muchin Rosenman UK LLP is registered for the purpose of VAT in England and Wales (VAT number GB859 2000 31).
Frauds and Scams
Please be aware that in order to perpetrate a scam or fraud, criminals may pose as someone from Katten. Usually these scams or frauds are carried out by fake emails suggesting you may receive a financial benefit. The emails often also contain links to supposedly relevant websites. To be effective the scam or fraud requires you to enter into communication with the fraudster, either by responding to the email or clicking the attached link. If you receive an email of this nature do not correspond with the sender. It is highly unlikely that it originates from the Firm.
If you are advised that we have changed the Firm's banking details, asked for money or your bank details please contact us immediately at firstname.lastname@example.org. We report scams that may constitute crimes to the Metropolitan Police and the National Crime Agency and to our regulators, the Solicitors Regulation Authority.
Katten Muchin Rosenman UK LLP is required to identify clients for the purposes of applicable anti-money laundering legislation. Amongst other things, the type of client, its business and the geographical location will dictate the due diligence standard and documentary evidence we are required to obtain in order to do this. Where possible, we will obtain this information from publically available sources but in circumstance where the information is not available we will need to obtain the information directly from you. Information provided to us for these purposes may be shared with our US affiliate Firm, Katten Muchin Rosenman LLP, for the same purposes. If we are not able obtain all the necessary documentation within a reasonable time frame we may not be able to act for you.
Anti-Bribery & Anti-Corruption
The Firm has anti-bribery and anti-corruption policies and procedures which apply to all our partners and employees worldwide. These policies prohibit the making, offering or promising to make a payment or transfer of anything of value including the provision of any service, gift or entertainment for any improper purpose or business advantage. These policies apply to dealings with all third parties on our behalf. They specifically prohibit such dealings with government personnel and other officials for the purpose of improperly obtaining or retaining business or for any other improper purpose or business advantage.
Katten Muchin Rosenman UK LLP is not authorised under the Financial Services and Markets Act 2000 but we are able, in certain circumstances to offer a limited range of investment services to clients because it is authorised and regulated by the Solicitors Regulation Authority which has complaints and redress procedures. We are not authorised by the Financial Conduct Authority (FCA). Katten Muchin Rosenman UK LLP is included on the register maintained by the FCA so that we can carry on insurance mediation activities - including (but not limited to) advising upon the purchase, selling and administration of insurance contracts. The register can be accessed via the FCA Website. This part of our business (including arrangements for complaints or redress if something goes wrong) is regulated by the Solicitors Regulation Authority. Please note: any investment decision is for the Firm's clients to make and no communication by us should be treated as an invitation or inducement to engage in investment activity.
The Firm is committed to providing high quality legal advice and client care. In the event of a problem with or a query about the way in which your matter is being handled or if you feel that our services can be improved, we would ask you in the first instance to raise the matter with the Partner with whom you deal or the Managing Partner. In the event that you are dissatisfied with any of the services that we have provided to you, it is your right to complain. This includes your right to complain about any bill. The firm has a formal complaints procedure, a copy of which can be provided on request. Formal complaints should be addressed to our Managing Partner, Peter Sugden, at email@example.com.
If, for any reason, we are unable to resolve any problem between us, you may be able to use the complaints and redress procedures operated by the Legal Ombudsman. This service is open to all members of the public, certain small businesses, charities, clubs, societies, associations and trusts. The Legal Ombudsman's details of eligibility and requirements can be found here. There are time limits on making such a complaint, generally 6 months from our written response to your formal complaint and six years from the out/admission complained of or 3 years from you should reasonably have known there was cause for complaint. Contact details for the Legal Ombudsman are www.legalombudsman.co.uk Phone: 0300 555 0333 or firstname.lastname@example.org.
The Solicitors Regulation Authority is the professional regulator of Katten Muchin Rosenman UK LLP and handles complaints relating to professional misconduct. The Solicitors' Code of Conduct can be accessed here.
Client funds, payments on account and interest
The Firm does not provide banking services and we will accept client funds only to the extent necessary to undertake professional services for you, and to hold money on account for anticipated costs and expenses including our own. Where Katten Muchin Rosenman UK LLP holds money in its client accounts, interest will be paid that is fair and reasonable for the whole period for which the client money is held. Katten Muchin Rosenman UK LLP holds client accounts with Lloyds Bank plc . Interest payable will be calculated by reference to the rate set by Lloyds Bank plc which is a variable rate subject to change. Our Interest Policy is available upon on request.
Consumer Contracts Regulations 2013
If you have instructed Katten Muchin Rosenman UK LLP as an individual to act for you in your personal capacity, under the Consumer Contracts (information, cancellation and additional charges) Regulations 2013, you have the right to cancel your instructions within 14 days of receiving our client engagement letter. You can cancel your instruction by any clear statement setting out your decision to cancel. Once we have started work on your file you may be required to pay reasonable costs for work done up to the point of cancellation.
EU Dispute Resolution
If you are a client and we have made a contract with you by electronic means you may be entitled to use an EU online dispute resolution service to assist with any contractual dispute you may have with us. This service can be found here. Our email address is email@example.com.
Law firms that are regulated by the Solicitors Regulation Authority (SRA) are required to collect, report and publish workforce diversity data every two years.
The data includes directors of the Firm as well as qualified and non-qualified staff.
The aggregated data collected from everyone at the Firm must be reported to the SRA, broken down by role categories.
The data that needs to be collected is:
Information about a person's protected characteristics under the Equality Act 2010
Information about socio economic factors (education) and caring responsibilities
The results of the diversity data collection exercise undertaken by Katten Muchin Rosenman UK LLP can be obtained by enquiring at Katten Muchin Rosenman UK LLP's principal address.
Although we are not required by the Modern Slavery Act 2015 to publish an anti-slavery statement, we have chosen to do so as we are committed to carrying on our business in a responsible and ethical manner.
Katten Muchin Rosenman UK LLP ("Katten", the "Firm" or "we") is opposed to slavery and human trafficking in all its forms and does not tolerate it within our own business or within our supply chain.
As a law firm we are subject to professional duties and aspire to the highest standards of ethical behaviour and integrity. The Firm's commitment is reflected in our values and policies on equal opportunity and diversity and in our pro bono initiatives.
As a professional services provider in London which is strictly regulated and primarily employs legal and other skilled professionals, we consider the risk of slavery or human trafficking occurring within the Firm's business to be low. Nevertheless, we have systems in place to (i) identify and assess potential risk areas in our supply chains, (ii) mitigate the risk of slavery and human trafficking, (iii) monitor potential risk areas and (iv) protect whistleblowers.
As regards the Firm's suppliers, we have taken the following initial steps:
- mapped out our first tier supply chain;
- sought assurances from key suppliers identified by reference to risk factors, including country, sector, impact and annual value of services provided; and
- identified training needs in order to raise awareness within the relevant parts of the Firm that have responsibility for managing suppliers, of the risk of slavery and human trafficking.
We intend to continue our work in this area through training, reviewing the Firm's policies and developing vendor management processes to support our approach and to underscore the values and principles we seek to maintain.
This statement relates to the financial year ending 31 January 2019 and has been approved by the members of Katten Muchin Rosenman UK LLP.
UK Tax Strategy Statement
Katten Muchin Rosenman UK LLP ("Katten", the "Firm" and "we") has prepared and published this strategy statement and regards it as complying with its duty under Paragraph 22(2) of Schedule 19 to the Finance Act 2016. This statement applies to the financial year ended 31 January 2018 and subsequent financial periods until it is superseded, and will be subject to periodic review.
- Tax Compliance
The Firm commits to complying fully with UK tax legislation. We actively engage with qualified professional advisors where appropriate. We aim to file tax returns on a timely and accurate basis, paying the right amount of tax at the right time. We disclose all relevant facts and circumstances to HM Revenue & Customs ("HMRC").
- Tax Planning
In considering its structure, the Firm takes into account the tax laws of all the countries in which it operates, and relies on applicable double tax treaties to avoid double taxation where appropriate from time to time. The Firm does not enter into transactions or arrangements which, in its opinion, are abusive or aggressive and which do not have a commercial purpose.
- Co-operation with HMRC
The Firm seeks to have an open and constructive relationship with HMRC through regular communication. We provide full information to HMRC of relevant changes in our business or structure and promptly disclose inadvertent errors, if any, to HMRC.
- Governance and Risk Management
Day to day responsibility for the management of our UK tax affairs is delegated to our Director of Partnership Accounting and as and when require our Tax Partner, who both reports to the Managing Partner and Director of Finance & Administration. Ultimate responsibility for tax matters rests with the Management Board.
Given the complexity of our global business, we are sometimes exposed to inherent tax risks. We seek to actively monitor and manage these risks and where there is sufficient uncertainty regarding a tax risk, we will seek appropriate external professional advice.
We have adopted policies and procedures commensurate with our obligations under Part 2 of the Criminal Finances Act 2017.
At all times the Firm seeks to comply fully with its regulatory and other obligations and to act in a way which upholds its reputation as a responsible corporate citizen.
SRA Transparency Rules
The SRA Transparency Rules require us to provide pricing information in relation to a limited number of specific services which we offer as part of our usual business from our UK offices.
Katten Muchin Rosenman UK LLP (the "Firm", "Katten" and "we") understand that clients demand both value for money and price certainty from their legal providers. We also understand that clients buy outcomes and solutions (not hours) and expect efficient and cost effective delivery of those outcomes. We offer our clients control, choice and certainty as to how outcomes and solutions are to be delivered. Our ability to map out a streamlined and cost effective route to delivery, combining both bespoke advisory services and alternative delivery approaches, helps us to meet client value expectations.
Where there is a clearly defined and agreed set of deliverables we are able to offer a fixed fee, mitigating pricing risk and giving you budget certainty.
If there are changes in circumstance, outside of the control of either you or the Firm, which significantly change the scope of work during the course of a matter we will discuss any change in our fee estimates with you first before proceeding. Similarly, for more complex circumstances where scope is less defined at the outset or outcomes more uncertain, we can offer you alternate fee approaches where we match our pricing mechanism to the issues being faced and are happy to work with you through the various options available.
Our services to you will be overseen by our partners and qualified lawyers and, together with other professionals and their support teams, are our subject matter experts in their chosen fields. Further details of background credentials for all our lawyers can be found here.
Katten looks to build long standing and deep relationships with our clients. In return for greater commitments and ongoing regular workflow we may offer further reductions to our charges beyond the stand alone transaction pricing quoted.
For pricing information regarding the specific services in respect of which we are required by the Transparency Rules to provide information, please click on the links below. Our fees and disbursements (i.e. costs that are payable to third parties) for these services will vary depending on a number of factors. We have attempted to provide an indication of these below, together with details of the process and likely timescales. These indications are necessarily based on a number of assumptions that may change from project to project.