Regulatory regime

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Practice notes
AML and counter-terrorist financing—source of funds and source of wealthSource of funds and wealth was a key focus of the SRA’s Preventing Money...
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19th May
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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19th May
Practice notes
Compliance officer for legal practice—COLP—title and duties 2011 [Archived]The compliance officer for legal practice (COLP) sits at the heart of the...
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19th May
Practice notes
Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...
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Produced in partnership with Adam Cygan of University of Leicester 19th May
Practice notes
SRA Accounts Rules 2019This Practice Note sets out the requirements of the SRA Accounts Rules 2019 (the 2019 Rules), in force from 25 November 2019,...
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19th May
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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19th May
Practice notes
High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
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19th May
Practice notes
Active bribery, passive bribery and bribing foreign public officialsThe purpose of this Practice Note is to provide a general understanding of the...
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Produced in partnership with Joanne Kane of Carmelite Chambers 19th May
Precedents
In briefThis precedent links to: •a template created by the UK Information Commissioner’s Office (ICO) of the ‘Set II’ or ‘2004’ EU Standard...
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19th May
Practice notes
Introduction to retained EU lawThis Practice Note provides an introduction to retained EU law. It provides an overview of the key definitions and...
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Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May
Practice notes
Safeguards and information barriersProtection of confidential information is fundamental to your relationship with clients, both as a matter of law...
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19th May
Practice notes
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...
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19th May
Practice notes
Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
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19th May
Practice notes
SRA Handbook 2011 [Archived]The SRA Handbook 2011 sets out standards and requirements that individual lawyers and firms are expected to achieve and...
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19th May
Precedents
1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...
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19th May
Practice notes
Working with European lawyers—the Registered European Lawyer (REL) regimeAt 11 pm (GMT) on 31 December 2020, the Brexit transition/implementation...
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19th May

Most recent Regulatory regime content

Practice notes
Trust and company service providers—law firms—anti-money laundering complianceTrust and company service providers (TCSPs) are at a high risk of being...
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1st Aug
Q&As
What is the definition of a 'transaction' in the Money Laundering Regulations 2017, SI 2017/692, specifically in relation to the obligation to carry...
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31st Jul
Q&As
Is there a specific form to apply for someone to become the firm's nominated officer?This Q&A reflects draft Legal Sector Affinity Group (LSAG) AML...
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31st Jul
Q&As
Under the anti-money laundering regime, what is a transaction or matter which favours anonymity, and how should I deal with one?What is a...
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31st Jul
Q&As
Do I need approval for the owners, officers and managers of my law firm under the Money Laundering Regulations 2017?The requirement for approvalUnder...
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31st Jul
Practice notes
Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017—for law firmsThis document reflects draft...
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31st Jul
Practice notes
Getting the Deal Through: Anti-Money Laundering 2021Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Brazil;...
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31st Jul
Practice notes
Tipping-off and prejudicing an investigation—core details for law firmsThere are several offences of tipping-off and prejudicing an investigation that...
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31st Jul
Practice notes
AML and counter-terrorist financing timelineThis timeline sets out developments in relation to anti-money laundering (AML) and counter-terrorist...
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31st Jul
Practice notes
Money Laundering Regulations 2017—application to law firms acting as tax advisersThe Money Laundering, Terrorist Financing and Transfer of Funds...
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31st Jul
Practice notes

LSAG AML guidance for

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31st Jul
Practice notes
Regulation of anti-money laundering and counter-terrorist financing—table of relevant authorities—law firmsThis Practice Note provides a quick...
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31st Jul
Practice notes
AML and data protection—law firmsThis Practice Note reflects draft Legal Sector Affinity Group (LSAG) AML guidance, published on 20 January 2021. It...
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31st Jul
Practice notes
Fifth Money Laundering Directive—what’s changed—law firms [Archived]STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on...
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31st Jul

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