Client due diligence (CDD)

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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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9th Nov
Practice notes
Source of funds and wealth was a key focus of the SRA’s Preventing Money Laundering and Financing of Terrorism thematic review, published in March...
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9th Nov
Practice notes
This Practice Note provides an introduction to retained EU law, which is an entirely new legal concept introduced to UK domestic law in preparation...
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9th Nov
Precedents
DRAFTING FOR BREXIT: For the latest information on the impact of Brexit on the drafting, negotiation and enforceability of this Precedent, see...
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9th Nov
Precedents
How to use this testThese questions are designed to test your understanding after your attendance at our training on avoiding bribery and...
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9th Nov
Practice notes
The compliance officer for legal practice (COLP) sits at the heart of the firm's regulatory arrangements. This does not mean that the firm and its...
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9th Nov

Most recent Client due diligence (CDD) content

Practice notes
This Practice Note lists high-risk third countries identified by the Financial Action Task Force (FATF), HM Treasury and the European Commission as...
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24th Nov
Precedents
Up to date as at [insert date]The Financial Action Task Force (FATF), HM Treasury and the European Commission consider the countries in the table...
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23rd Nov
Practice notes
What are cryptoassets?One of the hurdles in relation to understanding non-traditional currencies and assets lies in the inconsistent use of language....
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18th Nov
Q&As
Client due diligence (CDD) requirements underpin the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
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17th Nov
Q&As
Now more than ever the majority, if not all, of us are working from home due to the coronavirus (COVID-19) outbreak. Identifying your client and...
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12th Nov
Precedents
Instructions for completionWhen do you have to complete this form?You must complete this form for all new clients[ who are subject to the anti-money...
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12th Nov
Practice notes
This Practice Note explains your obligations around enhanced due diligence (EDD) and what it means for you in practice. It reflects the Money...
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12th Nov
Practice notes
This Practice Note provides guidance on client due diligence (CDD) which is a central pillar of the anti-money laundering (AML) and counter-terrorist...
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12th Nov
Practice notes
Client due diligence (CDD) is a central pillar of the anti-money laundering (AML)/counter-terrorist financing (CTF) regime. CDD requirements underpin...
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12th Nov
Q&As
You should determine the risk posed by an individual client as part of your client due diligence (CDD) measures and your anti-money laundering (AML)...
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19th Oct
Precedents
Instructions for completionPlease submit the completed form to [state who] and retain a copy for the matter file. Where you are opening a new matter...
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19th Oct
Q&As
A client which is the subsidiary of a FCA regulated company is not the same as a client whose parent company is a company listed on a recognised stock...
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16th Oct
Q&As
Evidence of identity can be obtained in a number of forms and come from a number of sources. Whatever evidence you rely on, it must cause you to be...
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16th Oct
Q&As
Section 4 of Precedent Client due diligence matrix contains suggested client due diligence measures for partnerships, limited liability partnerships...
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16th Oct
Practice notes
Client due diligence (CDD) is a central pillar of the anti-money laundering (AML)/counter-terrorist financing (CTF) regime. CDD requirements underpin...
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14th Oct
Precedents
1GeneralDate[Insert date]Name and job title of person completing this form[Insert name][Insert job title]Client/matter reference number[Insert...
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14th Oct
Precedents
1IntroductionEvidence of identity can be obtained in a number of forms and come from a number of sources. Whatever evidence you rely on, it must cause...
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14th Oct
Precedents
Instructions for completionWhen do you have to complete this form?You must complete this form for all new matters[ that are subject to the anti-money...
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14th Oct
Precedents
Third party reliance register.This Precedent Third party reliance register can be used to record details of third parties which you rely on for...
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14th Oct
Precedents
1[General details of [customer OR client] (private individual)Full name[Insert name]Current address[Insert address]Previous address if address changed...
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14th Oct

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