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.
LexisPSL Practice Compliance is an online risk and compliance toolkit designed to help your firm get in line and stay in line. With clear, concise notes written by leading experts in compliance, spelling out exactly what you need to do in practical terms. Plus all the forms, checklists, policies, registers, templates and examples you need to do it right. We even provide training aids to help you educate your staff in key compliance areas.
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MLex: A slate of US anticorruption legislation, including a bill that would outlaw the solicitation of bribes by foreign officials, awaits Congress as...
Law360, Expert analysis: The recent Office of Foreign Assets Control (OFAC) settlement with JC Flowers & Co over sanctions arising from non-US...
This week’s edition of Practice Compliance weekly highlights includes a DCMS consultation on reforms to the UK data protection regime, the Attorney...
MLex: An EU ban on products involving forced labour will be proposed by the European Commission, President Ursula von der Leyen said on 15 September...
MLex: Changes to UK protections for automated processing of personal data are among a flurry of proposals to reboot the country’s post-Brexit data...
SRA Standards and RegulationsThe SRA Standards and Regulations set out the standards and requirements that individual lawyers and firms regulated by...
Dealing with freelance solicitorsFrom 25 November 2019, the SRA Standards and Regulations introduced a new method of practising: the freelance...
Getting the Deal Through: Government Investigations 2021Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Greece;...
Brexit legislation trackerThis Practice Note tracks the progress of UK legislation introduced as part of the legislative project associated with the...
Electronic signaturesCoronavirus (COVID-19): This Practice Note contains guidance on subjects potentially impacted by procedural changes in response...
International personal data transfer—data recipient questionnaireThe purpose of this questionnaire is to facilitate our assessment of the level of...
Response to data subject request—right to erasure—able to comply with request[Name of individual making request][Address of individual making...
Letter explaining DBA—employment tribunalStandard DBA (employment tribunal)We have discussed various options for funding your costs, such as:•legal...
Outsourcing agreement—short formThis Agreement is made on [date]Parties1[Customer] a company incorporated in [England] with registered number [company...
Draft memo for client about disclosure and privilegeThis precedent draft memo should be read (and potentially be sent) with the relevant precedent...
What is a solicitor's undertaking?An undertaking is a commitment by a solicitor to do something. It can be enforced against the solicitor by the...
SRA Code of Conduct for individuals and firmsThis Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and...
Conflicts of interest 2019Conflicts of interest can cause difficult and serious problems for solicitors and law firms, both from a compliance point of...
Legal Services BoardThe Legal Services Board (LSB) is the single independent oversight regulator of the legal profession and sector in England and...
AML and counter-terrorist financing—source of funds and source of wealthSource of funds and wealth was a key focus of the SRA’s Preventing Money...
Compliance officer for legal practice—COLP—title and duties 2011 [Archived]The compliance officer for legal practice (COLP) sits at the heart of the...
Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...
SRA Accounts Rules 2019This Practice Note sets out the requirements of the SRA Accounts Rules 2019 (the 2019 Rules), in force from 25 November 2019,...
1DefinitionsModern Slavery Policy•means the Customer's anti-slavery and human trafficking policy as set out in Schedule [insert] as updated by the...
High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
In briefThis precedent links to: •a template created by the UK Information Commissioner’s Office (ICO) of the ‘Set II’ or ‘2004’ EU Standard...
Introduction to retained EU lawThis Practice Note provides an introduction to retained EU law. It provides an overview of the key definitions and...
Safeguards and information barriersProtection of confidential information is fundamental to your relationship with clients, both as a matter of law...
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...
Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...
SRA Handbook 2011 [Archived]The SRA Handbook 2011 sets out standards and requirements that individual lawyers and firms are expected to achieve and...
Working with European lawyers—the Registered European Lawyer (REL) regimeAt 11 pm (GMT) on 31 December 2020, the Brexit transition/implementation...
An internationally agreed set of measures developed by the Basel Committee on Banking Supervision in response to the financial crisis of 2007-09. The measures aim to strengthen the regulation, supervision and risk management of banks.
An agreement under which a developer agrees with another party to procure construction of works on behalf of that party. Typically, the agreement will include obligations as to cost, quality and time and will also provide for the transfer of an interest in the property.
Domicile can be summarised as an individual's permanent home. It is a common law concept used to determine which legal system applies to an individual, where they have connections with more than one jurisdiction, and is a factor in determining liability to income tax, capital gains tax and inheritance tax.
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