Regulatory regime

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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 Regulatory regime content

Practice notes
This Practice Note explains counter-terrorist financing (CTF), including the offences and obligations contained in the Terrorism Act 2000 (TA 2000)...
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23rd Nov
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Denmark; France; Germany; Greece; Hong Kong; India; Italy;...
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18th Nov
Practice notes
The Fourth Money Laundering Directive (4MLD), replacing the Third Directive which had been in force since 2005, was transposed across Europe in June...
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12th Nov
Practice notes
Brexit: As of exit day (31 January 2020), the UK is no longer an EU Member State, but it has entered an implementation period during which it...
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4th Nov
Practice notes
There are several offences of tipping-off and prejudicing an investigation that apply to the regulated sector. There is also an offence of prejudicing...
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19th Oct
Practice notes
The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017), SI 2017/692 form part of the...
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12th Oct
Q&As
All law firms have a professional obligation to comply with applicable anti-money laundering (AML) legislation, ie the Proceeds of Crime Act 2002...
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9th Oct
Practice notes
This Practice Note provides a quick reference guide to the bodies that have anti-money laundering (AML) and counter-terrorist financing (CTF)...
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9th Oct
Practice notes
This timeline sets out developments in relation to anti-money laundering (AML) and counter-terrorist financing (CTF) regimes being implemented in the...
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9th Oct
Practice notes
This Practice Note explains the offences, penalties and enforcement provisions contained in the Money Laundering, Terrorist Financing and Transfer of...
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9th Oct
Practice notes
The Proceeds of Crime Act 2002 (POCA 2002) came into force on 24 February 2003. It applies to acts of money laundering committed after that date. It...
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9th Oct
Practice notes
This Practice Note sets out the scope and application of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
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9th Oct
Q&As
What is a transaction/matter which favours anonymity?Transactions or matters which might favour anonymity include, for example:•those involving opaque...
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29th Sep
Q&As
The requirement for approvalUnder the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR...
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28th Sep
Q&As
Territorial jurisdictionThe jurisdiction of the criminal law is a matter which is often found to present difficult questions for the courts in...
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Produced in partnership with Philip Rule 28th Sep
Practice notes
The Proceeds of Crime Act 2002 (POCA 2002), the Terrorism Act 2000 (TA 2000) and the Money Laundering, Terrorist Financing and Transfer of Funds...
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25th Sep

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