Risk & Compliance forecast as at 10 September 2019
Risk & Compliance forecast as at 10 September 2019

The following Risk & Compliance guidance note provides comprehensive and up to date legal information covering:

  • Risk & Compliance forecast as at 10 September 2019
  • Headlines
  • Compliance forecast key dates 2019–2022
  • AML and CTF
  • Crime prevention—general
  • Whistleblowing
  • Competition law compliance
  • Data protection
  • Modern slavery
  • Employment
  • more

This Practice Note identifies key forthcoming or legislative changes affecting risk and compliance professionals as at 10 September 2019. Whenever a regulatory or legislative change occurs we will report it via our news updating service. We will also ensure we provide relevant guidance and, if necessary, amend or draft new Precedents..

The forecast begins with a quick-reference Headlines section which is followed by a calendar of key dates, before moving on to explain each potential development in more detail. It is intended to allow you to plan ahead.


Practising certificate renewals

This year’s SRA practising certificate renewal exercise will run from 1 to 31 October 2019. If you haven’t already, now is the time to gather the information you will need to complete your renewal forms—see:Regulation of legal services.

Competition law compliance

Feedback on the European Commission’s Roadmap for the evaluation of the two block exemption Regulations for horizontal co-operation agreements, an initiative to determine whether the Regulations (which expire on 31/12/2022) should lapse, be prolonged or revised, is open until 3 October 2019. See below: Competition law compliance.

Financial sanctions—annual frozen account report

HM Treasury has updated its guidance notice for the frozen asset reporting exercise 2019. The exercise is carried out annually, to update the Treasury’s records to reflect any changes to accounts during the reporting period. All persons that

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