AML & counter-terrorist financing

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Practice notes
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...
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19th May
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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19th May
Practice notes
Compliance officer for legal practice—COLP—title and duties 2011 [Archived]The compliance officer for legal practice (COLP) sits at the heart of the...
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19th May
Practice notes
Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...
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Produced in partnership with Adam Cygan of University of Leicester 19th May
Practice notes
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,...
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19th May
Precedents
1DefinitionsModern Slavery Policy•means the Customer's anti-slavery and human trafficking policy as set out in Schedule [insert] as updated by the...
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19th May
Practice notes
High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
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19th May
Practice notes
Active bribery, passive bribery and bribing foreign public officialsThe purpose of this Practice Note is to provide a general understanding of the...
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Produced in partnership with Joanne Kane of Carmelite Chambers 19th May
Precedents
In briefThis precedent links to: •a template created by the UK Information Commissioner’s Office (ICO) of the ‘Set II’ or ‘2004’ EU Standard...
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19th May
Practice notes
Introduction to retained EU lawThis Practice Note provides an introduction to retained EU law. It provides an overview of the key definitions and...
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Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May
Practice notes
Safeguards and information barriersProtection of confidential information is fundamental to your relationship with clients, both as a matter of law...
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19th May
Practice notes
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...
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19th May
Practice notes
Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
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19th May
Practice notes
SRA Handbook 2011 [Archived]The SRA Handbook 2011 sets out standards and requirements that individual lawyers and firms are expected to achieve and...
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19th May
Precedents
1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...
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19th May
Practice notes
Working with European lawyers—the Registered European Lawyer (REL) regimeAt 11 pm (GMT) on 31 December 2020, the Brexit transition/implementation...
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19th May

Most recent AML & counter-terrorist financing content

Practice notes
Anti-money laundering—Australia—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-money laundering in Australia published...
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30th Jul
Practice notes
Anti-money laundering—USA—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-money laundering in USA published as part of...
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30th Jul
Practice notes
Anti-money laundering—Hong Kong—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-money laundering in Hong Kong published...
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30th Jul
Precedents
Message from CEO/Senior Member/Senior Partner on updates to AML and counter-terrorist financing policyDate: [insert date]From [insert name], [insert...
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29th Jul
Practice notes
Making a SAR and obtaining a defence or consent—law firmsThis Practice Note reflects draft Legal Sector Affinity Group (LSAG) AML guidance, published...
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29th Jul
Practice notes
Trust and company service providers—law firms—anti-money laundering complianceTrust and company service providers (TCSPs) are at a high risk of being...
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29th Jul
Precedents
Register of AML and CTF policies, plans and proceduresThis Precedent Register of AML and CTF policies, plans and procedures can be used to help you...
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29th Jul
Precedents
AML and counter-terrorist financing policy—law firmsThis document reflects draft Legal Sector Affinity Group (LSAG) AML Guidance, published on 20...
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28th Jul
Practice notes
Money Laundering Regulations 2017—group level policies, controls and procedures—law firmsThis document reflects draft Legal Sector Affinity Group...
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28th Jul
Practice notes
AML and counter-terrorist financing timelineThis timeline sets out developments in relation to anti-money laundering (AML) and counter-terrorist...
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28th Jul
Practice notes
Money Laundering Regulations 2017—governance and reporting linesThe Money Laundering, Terrorist Financing and Transfer of Funds (Information on the...
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26th Jul
Practice notes
Proceeds of Crime Act 2002—information sharing in the regulated sector—superSARsThis Practice Note deals with the amendments to the Proceeds of Crime...
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Produced in partnership with Michael Potts of PCB Byrne 21st Jul
Precedents
Table of high-risk third countriesUp to date as at [insert date]The Financial Action Task Force (FATF), and the UK government consider the countries...
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19th Jul
Practice notes
High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
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16th Jul
Practice notes
SARs and confidentiality—law firmsIssues of confidentiality arise in two different respects in terms of suspicious activity reports (SARs):•your duty...
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16th Jul
Practice notes
Summary of changes to the AML and counter-terrorist financing policy—Spring/Summer 2021—law firmsThis Practice Note summarises changes to our...
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15th Jul
Q&As
What money laundering and terrorist financing red flags do I need to look out for in a transaction or matter involving virtual assets?This Q&A...
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14th Jul
Precedents
Recognising crime—red flags and warning signs for staff—law firmsYou must remain alert to the red flags and warning signs of crime potentially taking...
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14th Jul
Practice notes
Money Laundering Regulations 2017—application to law firms acting as tax advisersThe Money Laundering, Terrorist Financing and Transfer of Funds...
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14th Jul
Precedents
AML and counter-terrorist financing cheat sheet—for staffWhat is money laundering?Money laundering is the process through which the proceeds of crime...
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13th Jul

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