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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...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

Practice notes
Money Laundering Regulations 2017—systems and controls requirements—law firmsThis Practice Note explains the regulatory requirement to implement...
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14th Sep
Practice notes
Money Laundering Regulations 2017—nominated officer—law firmsThis document reflects draft Legal Sector Affinity Group (LSAG) AML guidance, published...
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14th Sep
Practice notes
Pre-employment checks—law firmsWhile the application form and interview process will give you some assurances as to a candidate's suitability for a...
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14th Sep
Practice notes
Money Laundering Regulations 2017—screening employees—law firmsThis Practice Note reflects draft Legal Sector Affinity Group (LSAG) AML guidance,...
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14th Sep
Practice notes
Money laundering compliance officer—law firmsThis Practice Note is intended for law firms that are subject to the Money Laundering, Terrorist...
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14th Sep
Q&As
What CDD challenges are presented by coronavirus (COVID-19)?STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20...
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14th Sep
Q&As
When administering an oath, do I have to verify the deponent’s identity?Rules and guidance from the regulators on this point are thin on the ground,...
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9th Sep
Precedents
Money laundering or terrorist financing incident—panic sheet1. Money laundering incident management teamYou need to be able to show you’ve taken a...
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22nd Aug
Precedents
SuperSAR investigation form1General detailsDate[Insert date]Customer/client name (if applicable)[Insert customer/client name]Name and job title of...
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22nd Aug
Practice notes
Anti-money laundering—Italy—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-money laundering in Italy published as part...
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20th Aug
Practice notes
Anti-money laundering—Australia—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-money laundering in Australia published...
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20th Aug
Practice notes
Anti-money laundering—Greece—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-money laundering in Greece published as...
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20th Aug
Practice notes
Anti-money laundering—Japan—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-money laundering in Japan published as part...
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20th Aug
Practice notes
Anti-money laundering—United Kingdom—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-money laundering in United Kingdom...
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20th Aug
Practice notes
Anti-money laundering—Nigeria—Q&A guide [Archived, 2020 Edition]This Practice Note contains a jurisdiction-specific Q&A guide to anti-money laundering...
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20th Aug
Practice notes
Anti-money laundering—Singapore—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-money laundering in Singapore published...
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20th Aug
Practice notes
Anti-money laundering—South Korea—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-money laundering in South Korea...
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20th Aug
Practice notes
Anti-money laundering—Switzerland—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-money laundering in Switzerland...
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20th Aug
Practice notes
Anti-money laundering—France—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-money laundering in France published as...
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20th Aug
Practice notes
Anti-money laundering—Hong Kong—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-money laundering in Hong Kong published...
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20th Aug

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