AML & counter-terrorist financing

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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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...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
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
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) regimeAt 11 pm (GMT) on 31 December 2020, the Brexit transition/implementation...
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19th May

Most recent AML & counter-terrorist financing content

Precedents
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
Precedents
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...
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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?This Q&A...
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31st Jul
Practice notes

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 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 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 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 policyDate: [insert date]From [insert name], [insert...
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31st Jul
Precedents
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 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 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 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 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 actionsThis register of non-compliance and corrective actions can be used...
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30th Jul
Precedents
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

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