Systems & controls

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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 Systems & controls content

Precedents
Money laundering is the process through which the true origin and ownership of the proceeds of crime are changed so that the proceeds appear...
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25th Nov
Precedents

Please click for the register.

Please note that this regist

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25th Nov
Practice notes
STOP PRESS (6/11/20): On 5 November 2020, the ICO published new detailed guidance on criminal offence data. See: ICO publishes new guidance on...
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13th Nov
Practice notes
While the application form and interview process will give you some assurances as to a candidate's suitability for a vacant position, some additional...
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10th 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
This Practice Note provides examples of good practice in relation to the prevention of money laundering and financing of terrorism. The information in...
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19th Oct
Precedents
1Introduction to the policy1.1[Firm name] is required to put in place appropriate systems and controls to combat money laundering and terrorist...
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14th Oct
Practice notes
Law firms are subject to general professional and regulatory obligations in relation to record keeping simply by virtue of being both a business in...
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14th Oct
Q&As
If the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017), SI 2017/692 apply to your...
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12th Oct
Practice notes
The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017), SI 2017/692 require firms...
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9th Oct
Practice notes
This Practice Note explains the regulatory requirement to implement systems and controls to mitigate and manage effectively the risks of money...
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9th Oct
Practice notes
Your anti-money laundering (AML) and counter-terrorist financing (CTF) obligations are set out in the Proceeds of Crime Act 2002 (POCA 2002), the...
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9th Oct
Practice notes
The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017, SI 2017/692 (MLR 2017), as amended by the...
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9th Oct
Q&As
Practice Note: Money Laundering Regulations 2017—record keeping—law firms explains that you must keep your own client due diligence records for five...
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28th Sep
Q&As
The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017), SI 2017/692 came into force on...
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28th Sep
Precedents
Date: [insert date]From [insert name], [insert job title]Money laundering and terrorist financing are of growing international concern; those...
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27th Sep
Precedents
Date: [insert date]From [insert name], [insert job title]Money laundering and terrorist financing are of growing international concern; those...
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27th 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
1Large payments made in cash may be a sign of money laundering or terrorist financing.2You must not accept any funds (cash or otherwise) from a...
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26th Sep

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