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AML & counter-terrorist financing

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Latest Practice Compliance News

Practice Compliance weekly highlights—30 June 2022

Practice Compliance weekly highlights—30 June 2022

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—30 June 2022

Swiss government aligns with EU on oil and services sanctions

Swiss government aligns with EU on oil and services sanctions

The following Corporate Crime news provides comprehensive and up to date legal information on Swiss government aligns with EU on oil and services sanctions

Enforcement of UK’s financial sanctions—strict liability and a stronger approach

Enforcement of UK’s financial sanctions—strict liability and a stronger approach

The following Corporate Crime news provides comprehensive and up to date legal information on Enforcement of UK’s financial sanctions—strict liability and a stronger approach

Credit suisse ordered to pay US$21.6m for AML failings

Credit suisse ordered to pay US$21.6m for AML failings

The following Corporate Crime news provides comprehensive and up to date legal information on Credit suisse ordered to pay US$21.6m for AML failings

Featured Practice Compliance content

Conflicts of interest 2019

Conflicts of interest 2019

Conflicts of interest 2019Conflicts of interest can cause difficult and serious problems for solicitors and law firms, both from a compliance point of...

Property and mortgage fraud—warning signs and good practice for staff

Property and mortgage fraud—warning signs and good practice for staff

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]

Compliance officer for finance and administration—COFA—title and duties 2011 [Archived]

Compliance officer for finance and administration—COFA—title and duties 2011 [Archived]This Practice Note explains the duties and qualifying...

Undertakings and the SRA 2019

Undertakings and the SRA 2019

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...

Practice notes

Protection for whistleblowers—law firms

Protection for whistleblowers—law firmsThis Practice Note summarises the law and practice in relation to whistleblowing as governed by the Employment...
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16th Nov
Practice notes

Understanding the financial sanctions regime—a guide for law firms [Archived]

Understanding the financial sanctions regime—a guide for law firms [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This...
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16th Nov
Practice notes

Final client bill

Final client billThis Practice Note deals with regulatory requirements and practical issues regarding the form and content of a final bill of costs to...
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16th Nov
Practice notes

Insurance distribution activities—law firms

Insurance distribution activities—law firmsAs a general rule, law firms are not permitted to engage directly in insurance distribution activities,...
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16th Nov
Precedents

Anti bribery and corruption Officer—ABC Officer—job description and role profile

Anti bribery and corruption Officer—ABC Officer—job description and role profileAnti-bribery and corruption Officer (ABC Officer) detailsName of...
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16th Nov
Practice notes

Residual balances 2019—law firms

Residual balances 2019—law firmsThis Practice Note sets out the requirements of the SRA Accounts Rules 2019, in force from 25 November 2019, regarding...
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16th Nov
Practice notes

Acting for yourself, friends and family

Acting for yourself, friends and familyThis Practice Note covers considerations where the firm wishes to act for one of its own partners or employees,...
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16th Nov
Practice notes

Referral and fee sharing arrangements 2019

Referral and fee sharing arrangements 2019This Practice Note reflects requirements in the SRA Codes of Conduct 2019 (2019 Codes) in relation to...
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16th Nov
Practice notes

Bogus law firms

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...
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16th Nov
Precedents

Undertakings policy for property transactions

Undertakings policy for property transactions1Policy statement1.1It is the policy of [firm name] (‘the firm’) to conduct its business in compliance...
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16th Nov
Practice notes

Pre-employment checks—law firms

Pre-employment checks—law firmsWhile the application form and interview process will give you some assurances as to a candidate's suitability for a...
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16th Nov
Practice notes

SRA approval of managers 2011 [Archived]

SRA approval of managers 2011 [Archived]A firm's managers must be approved by the SRA. Solicitors and firms who are themselves authorised by the SRA...
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16th Nov
Q&As

Should attendance notes be filed for all client meetings even when a narrative is provided in our time recording system?

Should attendance notes be filed for all client meetings even when a narrative is provided in our time recording system?There are no specific SRA...
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16th Nov
Precedents

Anti-bribery and corruption—due diligence questionnaire for agent/intermediary

Anti-bribery and corruption—due diligence questionnaire for agent/intermediaryTo be completed by the agent/intermediary.Please complete, sign and...
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16th Nov
Q&As

What CDD challenges are presented by coronavirus (COVID-19)?

What CDD challenges are presented by coronavirus (COVID-19)?STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20...
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16th Nov
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Precedents

Anti-bribery and corruption—hospitality decision tree

Anti-bribery and corruption—hospitality decision treeThis hospitality decision tree can help you decide whether or not to offer corporate hospitality....
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16th Nov

Popular documents

Hearsay evidence in civil litigation

Hearsay evidence in civil litigation

Hearsay evidence in civil litigationThis Practice Note provides guidance on the interpretation and application of the relevant provisions of the CPR. Depending on the court in which your matter is proceeding, you may also need to be mindful of additional provisions—see further below.This Practice

Capital allowances on property sales—pre-contract enquiries

Capital allowances on property sales—pre-contract enquiries

Capital allowances on property sales—pre-contract enquiriesThis Practice Note is about capital allowance-related pre-contract enquiries on a property transfer. It applies to the grant of a new property interest (eg a lease) as well as to the acquisition of an existing lease or freehold.For clauses

Contractual damages—non-pecuniary losses

Contractual damages—non-pecuniary losses

Contractual damages—non-pecuniary lossesThis Practice Note considers the different categories of contractual damages that may be available for non-financial loss (non-pecuniary loss), ie punitive damages, damages for loss of enjoyment and loss of amenity, restitutionary damages and negotiating

Guide to using the Lexis®PSL Employment Schedule of Loss application

Guide to using the Lexis®PSL Employment Schedule of Loss application

Guide to using the Lexis®PSL Employment Schedule of Loss applicationThe automated unfair dismissal schedule of loss is designed to make the preparation of a schedule more efficient, accurate and also easier to update. It:•can be used to create a schedule for a claimant or a counter-schedule for a