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AML & counter-terrorist financing

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Latest Practice Compliance News

US Congress to tackle anticorruption legislation, including bill to outlaw foreign bribe solicitation

US Congress to tackle anticorruption legislation, including bill to outlaw foreign bribe solicitation

The following Corporate Crime news provides comprehensive and up to date legal information on US Congress to tackle anticorruption legislation, including bill to outlaw foreign bribe solicitation

OFAC settlement extends sanctions reach beyond US dollar

OFAC settlement extends sanctions reach beyond US dollar

The following Corporate Crime news provides comprehensive and up to date legal information on OFAC settlement extends sanctions reach beyond US dollar

Practice Compliance weekly highlights—16 September 2021

Practice Compliance weekly highlights—16 September 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—16 September 2021

EU to propose ban on forced labour-linked products, Von der Leyen says

EU to propose ban on forced labour-linked products, Von der Leyen says

The following Commercial news provides comprehensive and up to date legal information on EU to propose ban on forced labour-linked products, Von der Leyen says

Featured Practice Compliance content

What is a solicitor's undertaking?

What is a solicitor's undertaking?

What is a solicitor's undertaking?An undertaking is a commitment by a solicitor to do something. It can be enforced against the solicitor by the...

SRA Code of Conduct for individuals and firms

SRA Code of Conduct for individuals and firms

SRA Code of Conduct for individuals and firmsThis Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and...

Conflicts of interest 2019

Conflicts of interest 2019

Conflicts of interest 2019Conflicts of interest can cause difficult and serious problems for solicitors and law firms, both from a compliance point of...

Legal Services Board

Legal Services Board

Legal Services BoardThe Legal Services Board (LSB) is the single independent oversight regulator of the legal profession and sector in England and...

Practice notes

AML and counter-terrorist financing—source of funds and source of wealth

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
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Practice notes

The Information Commissioner’s Office (ICO)

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]

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]

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
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Practice notes

SRA Accounts Rules 2019

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

Modern slavery: contract clauses

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
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Practice notes

High-risk third countries tracker

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
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Practice notes

Active bribery, passive bribery and bribing foreign public officials

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

Standard contractual clauses for international transfers—set II—controller to controller—ICO templates

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 law

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
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Practice notes

Safeguards and information barriers

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 2019

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 2019

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
Precedents

Financial sanctions policy

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

SRA Handbook 2011 [Archived]

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
Practice notes

Working with European lawyers—the Registered European Lawyer (REL) regime

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
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Most recent AML & counter-terrorist financing content

Precedents

File information form

File information form1General informationClient name(s)[Insert client name(s)]File reference number[Insert file reference number]Matter type[Insert...
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13th Aug
Q&As

Do the money laundering offences under Part 7 of the Proceeds of Crime Act 2002 (POCA 2002) apply to only UK nationals and companies or are foreign nationals and businesses also caught by these provisions? Do the money laundering offences under POCA 2002 have extra-territorial effect?

Do the money laundering offences under Part 7 of the Proceeds of Crime Act 2002 (POCA 2002) apply to only UK nationals and companies or are foreign...
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Produced in partnership with Philip Rule 11th Aug
Precedents

Register of superSAR requests and responses

Register of superSAR requests and responsesThis Precedent Register of superSAR requests and responses can be used to keep a record of your superSAR...
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31st Jul
Q&As

Do I have to make a suspicious activity report where I have stopped acting or declined to act for a client due to the presence of an AML risk factor?

Do I have to make a suspicious activity report where I have stopped acting or declined to act for a client due to the presence of an AML risk...
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31st Jul
Q&As

What money laundering and terrorist financing red flags do I need to look out for in a transaction or matter involving virtual assets?

What money laundering and terrorist financing red flags do I need to look out for in a transaction or matter involving virtual assets?This Q&A...
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31st Jul
Practice notes

LSAG AML guidance for the Legal Sector—March 2018

LSAG AML guidance for

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31st Jul
Practice notes

Summary of changes to the AML and counter-terrorist financing policy—Spring/Summer 2021—law firms

Summary of changes to the AML and counter-terrorist financing policy—Spring/Summer 2021—law firmsThis Practice Note summarises changes to our...
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31st Jul
Practice notes

Challenges names from different cultures can present in the CDD process

Challenges names from different cultures can present in the CDD processThis Practice Note details the challenges that names from different cultures...
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31st Jul
Precedents

AML and counter-terrorist financing compliance declaration register

AML and counter-terrorist financing compliance declaration registerYou should ask staff to sign a declaration confirming they have read, received and...
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31st Jul
Precedents

Message from CEO/Senior Member/Senior Partner on updates to AML and counter-terrorist financing policy

Message from CEO/Senior Member/Senior Partner on updates to AML and counter-terrorist financing policyDate: [insert date]From [insert name], [insert...
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31st Jul
Precedents

Table of high-risk third countries

Table of high-risk third countriesUp to date as at [insert date]The Financial Action Task Force (FATF), and the UK government consider the countries...
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31st Jul
Precedents

Source of funds/wealth statement

Source of funds/wealth statementWe are required under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
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31st Jul
Precedents

Money Laundering Regulations 2017—independent audit schedule of recommendations

Money Laundering Regulations 2017—independent audit schedule of recommendationsThis schedule of recommendations can be used by the independent audit...
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31st Jul
Precedents

Mini training aid—AML—law and red flags—law firms

Mini training aid—AML—law and red flags—law firmsThe training materials are customisable.This training pack has been prepared in PowerPoint and...
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30th Jul
Precedents

CDD beneficial ownership information discrepancy report form register

CDD beneficial ownership information discrepancy report form registerThis Precedent CDD beneficial ownership information discrepancy report form...
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30th Jul
Precedents

Money Laundering Regulations 2017—register of non-compliance and corrective actions

Money Laundering Regulations 2017—register of non-compliance and corrective actionsThis register of non-compliance and corrective actions can be used...
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30th Jul
Precedents

Mini training aid—AML—CDD—law firms

Mini training aid—AML—CDD—law firmsThe training materials are customisable.This training pack has been prepared in PowerPoint and therefore cannot be...
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30th Jul

Popular documents

SRA Code of Conduct for individuals and firms

SRA Code of Conduct for individuals and firms

SRA Code of Conduct for individuals and firmsThis Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and Regulations, in force from 25 November 2019. The SRA Standards and Regulations include two Codes of Conduct—a Code forSolicitors, RELs and RFLs and a Code

What is a public authority?

What is a public authority?

What is a public authority?There is no single, universal answer to the question whether a particular organisation is treated, in law, as a public authority.Rather, on one hand the courts have developed case law on which bodies are subject to administrative law through the judicial review procedure;

Reserved judgments

Reserved judgments

Reserved judgmentsWhat is a reserved judgment?A court can reserve judgment by giving its decision at a later date in writing, after the trial or hearing (as opposed to an ex tempore judgment which is given by the judge orally straight after the hearing or trial). At the end of the hearing the judge

Negligence—key elements to establish a negligence claim

Negligence—key elements to establish a negligence claim

Negligence—key elements to establish a negligence claimNegligence—what are the key ingredients to establish a claim in negligence?For liability in negligence to be founded, four key ingredients must be present:•duty of care•breach of that duty•damage (which is caused by the breach)•foreseeability of