Monitoring & review

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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 Monitoring & review content

Precedents
1General informationReview period[Insert review period]Date of review[Insert date]Person(s) conducting review[Insert name(s)]2DataCriteriaIn the last...
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27th Sep
Precedents
1General informationReview period[Insert review period]Date of review[Insert date]Person(s) conducting review[Insert name(s)]2DataCriteriaIn the last...
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26th Sep
Precedents
This Precedent Register of AML and CTF policies, plans and procedures can be used to help you comply with Regulation 19(1) of the Money Laundering,...
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26th Sep
Precedents
1General informationDate of this report[Insert]Date of last report[Insert]Name of person submitting report[Insert]2Action points arising from last...
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26th Sep
Practice notes
The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017), SI 2017/692 require firms to...
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25th Sep

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