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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
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
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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9th Nov
Practice notes
The purpose of this Practice Note is to provide a general understanding of the offences under section 1, 2 and 6 of the Bribery Act 2010 (BA 2010). It...
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Produced in partnership with Joanne Kane of Carmelite Chambers 12th Jan
Practice notes
An undertaking is a commitment by a solicitor to do something. It can be enforced against the solicitor by the courts. Failure to comply with an...
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9th Nov
Practice notes
Facilitating the performance of a duty by public officialsFacilitation payments, also known as facilitating or grease payments, are generally small...
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Produced in partnership with Richard Furlong of Carmelite Chambers 12th Jan

Most recent Independent audit content

Practice notes
This Practice Note provides guidance on establishing an independent function to audit your compliance with the Money Laundering, Terrorist Financing...
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5th May
Precedents
This document reflects draft Legal Sector Affinity Group (LSAG) AML guidance, published on 20 January 2021. It awaits HM Treasury approval. Note that...
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23rd Apr
Precedents
1General informationPerson(s) conducting audit[Insert names of applicable members of independent audit team]Dates of auditFrom [insert date] to...
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14th Feb
Precedents
This register of non-compliance and corrective actions can be used by the independent audit function to log specific incidences of non-compliance...
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14th Feb
Precedents
STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval by HM Treasury and any content...
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28th Jan
Precedents
This schedule of recommendations can be used by the independent audit function to set out its recommendations following audit of the organisation’s...
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7th Dec

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