This topic contains guidance and Precedents helping firms to comply with anti-money laundering and counter-terrorist financing requirements. Draft AML guidance for the legal sector has been issued and awaits HM Treasury approval.
This subtopic contains guidance, Precedents, analysis and other resources for law firms and in-house lawyers relating to pandemic management, including in relation to coronavirus (COVID-19).
This subtopic gives an overview of the important features of the UK General Data Protection Regulation and sets out where the specific regulatory detail can be found. It reflects the UK GDPR regime.
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Our new Practice Compliance forecast (as at 18 January 2022) is now live. This month, we report on (1) a new economic crime bill may address a...
MLex: A controversial proposal to cut protections for users affected by machine-made decisions as part of the UK’s data reform agenda is unlikely to...
Law360, London: The licensed conveyors' watchdog has launched a consultation on whether it should make stand-alone insurance for cyberattacks...
MLex: The conditions for awarding compensation for ‘non-material damage’ for violations of EU’s General Data Protection Regulation, Regulation (EU)...
MLex: The Financial Conduct Authority (FCA) currently has 54 cases of suspected money-laundering breaches under investigation, a government minister...
Coronavirus (COVID-19)—managing the workplace from 30 November 2021STOP PRESS (17/1/22): The Department of Health and Social Care (DHSC) updated its...
Transgender and other gender issuesA small proportion of people have a gender identity that does not match the gender they were assigned at birth....
CSR, ESG and human rights reporting and initiativesSustainability toolkitWe have produced a sustainability toolkit, which aims to help practitioners...
Supply chains under data protection law—arrangements between controllers and processorsThis Practice Note introduces the requirements of the United...
Doing business in key global jurisdictionsUpdated in October 2020IntroductionPolitical stabilityInfrastructureCrime and healthcareFreedom of courts...
ID document expiration logThis Precedent ID document expiration log can be used to record details of when customer/client ID documentation obtained...
Deputy money laundering compliance officer—MLCO—job description and role profile—law firms1Details of Deputy Money Laundering Compliance Officer...
Training materials—data protection and information security protection for staffThis Precedent presentation has been designed as an aid to train your...
Training materials—anti-slaveryThis presentation has been designed as an aid to train your staff on anti-slavery and ensure they have an awareness and...
Training materials—Financial sanctionsThis Precedent training presentation has been designed as an aid to train your staff on your financial sanctions...
Property and mortgage fraud—warning signs and good practice for staffYou do not have to behave like a police officer but you do have to remain alert...
Compliance officer for finance and administration—COFA—title and duties 2011 [Archived]This Practice Note explains the duties and qualifying...
Undertakings and the SRA 2019What is an undertaking?An undertaking is:•a statement, given orally or in writing, whether or not it includes the word...
Protection for whistleblowers—law firmsThis Practice Note summarises the law and practice in relation to whistleblowing as governed by the Employment...
Understanding the financial sanctions regime—a guide for law firms [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This...
Final client billThis Practice Note deals with regulatory requirements and practical issues regarding the form and content of a final bill of costs to...
Insurance distribution activities—law firmsAs a general rule, law firms are not permitted to engage directly in insurance distribution activities,...
Anti bribery and corruption Officer—ABC Officer—job description and role profileAnti-bribery and corruption Officer (ABC Officer) detailsName of...
Residual balances 2019—law firmsThis Practice Note sets out the requirements of the SRA Accounts Rules 2019, in force from 25 November 2019, regarding...
Acting for yourself, friends and familyThis Practice Note covers considerations where the firm wishes to act for one of its own partners or employees,...
Referral and fee sharing arrangements 2019This Practice Note reflects requirements in the SRA Codes of Conduct 2019 (2019 Codes) in relation to...
Bogus law firmsWhat is a bogus law firm?The term 'bogus law firm' is used to describe a situation where a firm or individual that is not regulated by...
Undertakings policy for property transactions1Policy statement1.1It is the policy of [firm name] (‘the firm’) to conduct its business in compliance...
Pre-employment checks—law firmsWhile the application form and interview process will give you some assurances as to a candidate's suitability for a...
Anti-bribery and corruption—due diligence questionnaire for agent/intermediaryTo be completed by the agent/intermediary.Please complete, sign and...
Anti-bribery and corruption—hospitality decision treeThis hospitality decision tree can help you decide whether or not to offer corporate hospitality....
An IP licence is the transfer of rights in an IP right from the owner to another, short of an assignment of all rights. The licensor retains ownership of the IP right and allows the licensee to engage in acts which would constitute infringement if not for the licence.
The statutory right to extend a residential lease and acquire the freehold, enabling tenants to continue occupation of their residential property at a fair price and on fair terms, and allow leaseholders to maintain capital value and mortgage their properties.
An exemption (also called SSE) from corporation tax on chargeable gains for certain share disposals by companies. The shares being disposed of must represent at least a 10% stake in the company, they must have been held for at least a year and the company must be trading (or be the holding company of a trading group).
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