Regulatory regime

View Practice Compliance by content type:

Latest Practice Compliance News

Featured Practice Compliance content

Precedents
1DefinitionsModern Slavery Policy•means the Customer's anti-slavery and human trafficking policy as set out in Schedule [insert] as updated by the...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
9th Nov

Most recent Regulatory regime content

Q&As
This Q&A reflects draft Legal Sector Affinity Group (LSAG) AML guidance, published on 20 January 2021. It awaits HM Treasury approval. Note that any...
Read More >
16th Apr
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Denmark; France; Germany; Greece; Hong Kong; India; Italy;...
Read More >
9th Apr
Practice notes
This Practice Note reflects draft Legal Sector Affinity Group (LSAG) AML guidance, published on 20 January 2021. It awaits HM Treasury approval. Note...
Read More >
5th Mar
Q&As
The requirement for approvalUnder the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR...
Read More >
24th Feb
Practice notes
This document reflects draft Legal Sector Affinity Group (LSAG) AML guidance, published on 20 January 2021. It awaits HM Treasury approval. Note that...
Read More >
24th Feb
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...
Read More >
24th Feb
Practice notes
This Practice Note explains counter-terrorist financing (CTF), including the offences and obligations contained in the Terrorism Act 2000 (TA 2000)...
Read More >
22nd Feb
Practice notes
This document reflects draft Legal Sector Affinity Group (LSAG) AML guidance, published on 20 January 2021. It awaits HM Treasury approval. Note that...
Read More >
22nd Feb
Practice notes
This document reflects draft Legal Sector Affinity Group (LSAG) AML guidance, published on 20 January 2021. It awaits HM Treasury approval. Note that...
Read More >
19th Feb
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...
Read More >
19th Feb
Q&As
What is a transaction/matter which favours anonymity?Transactions or matters which might favour anonymity include, for example:•those involving opaque...
Read More >
18th Feb
Precedents
The training materials are customisable.This training pack has been prepared in PowerPoint and therefore cannot be downloaded to Word from this...
Read More >
18th Feb
Precedents
QuestionAnswers1. What is money laundering?(a) The process through which proceeds of crime and their true origin and ownership are changed so that the...
Read More >
18th Feb
Precedents
How to use this testThese questions are designed to test your understanding after your attendance at training on anti-money laundering and...
Read More >
18th Feb
Practice notes
This document reflects draft Legal Sector Affinity Group (LSAG) AML guidance, published on 20 January 2021. It awaits HM Treasury approval. Note that...
Read More >
18th Feb
Practice notes
This Practice Note provides a quick reference guide to the bodies that have anti-money laundering (AML) and counter-terrorist financing (CTF)...
Read More >
18th Feb
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...
Read More >
17th Feb

Popular documents