AML & counter-terrorist financing

View Practice Compliance by content type:

News

Practice notes

Precedents

Q&As

Latest Practice Compliance News

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

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

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

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

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 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...

19th May

In-house

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...

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...

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...

Produced in partnership with Adam Cygan of University of Leicester 19th May

Brexit

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,...

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...

19th May

In-house

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)...

19th May

In-house

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...

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...

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...

Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May

Brexit

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...

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...

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...

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...

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...

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...

19th May

Brexit

Most recent AML & counter-terrorist financing content

Precedents

AML and counter-terrorist financing training materials—post-training ‘red flag’ identification exercise

AML and counter-terrorist financing training materials—post-training ‘red flag’ identification exerciseScenario A: Politically exposed personYou have...

15th Aug

Precedents

Money Laundering Regulations 2017—independent audit function role and responsibilities—law firms

Money Laundering Regulations 2017—independent audit function role and responsibilities—law firms1Establishment of independent audit functionThe Money...

15th Aug

Precedents

New matter form

New matter formInstructions for completionPlease submit the completed form to [state who] and retain a copy for the matter file. Where you are opening...

15th Aug

Precedents

Suspicious activity report register

Suspicious activity report registerThis Precedent Suspicious activity report register can help you keep comprehensive records of internal...

15th Aug

Precedents

Mini training aid—AML—reporting suspicions—post-training assessment answers—law firms

Mini training aid—AML—reporting suspicions—post-training assessment answers—law firmsQuestionAnswers1. Which Act(s) create(s) obligations to report...

15th Aug

Precedents

Money Laundering Regulations 2017—AML and counter-terrorist financing—law firms—annual review

Money Laundering Regulations 2017—AML and counter-terrorist financing—law firms—annual reviewSTOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML...

15th Aug

Precedents

Recognising crime—red flags and warning signs for staff—law firms

Recognising crime—red flags and warning signs for staff—law firmsYou must remain alert to the red flags and warning signs of crime potentially taking...

15th Aug

Precedents

CDD client risk assessment form—law firms

CDD client risk assessment form—law firmsInstructions for completionWhen do you have to complete this form?You must complete this form for all new...

15th Aug

Precedents

High-risk ongoing monitoring form

High-risk ongoing monitoring form1GeneralDate[Insert date]Name and job title of person completing this form[Insert name][Insert job title][Customer OR...

15th Aug

Precedents

Establishing the source of funds and source of wealth—guidance table for staff

Establishing the source of funds and source of wealth—guidance table for staffThis table ties together source of funds and source of wealth...

15th Aug

Precedents

Politically exposed person—PEP—central list

Politically exposed person—PEP—central listThis Precedent Politically exposed person—PEP—central list allows you to keep a central record of PEP...

15th Aug

Precedents

Mini training aid—AML—funds—post-training assessment answers—law firms

Mini training aid—AML—funds—post-training assessment answers—law firmsQuestionAnswer1. What is money laundering?(a) The process through which proceeds...

15th Aug

Precedents

Client due diligence process workflow

Client due diligence process workflowThis Precedent Flowchart can be issued to staff to explain your process for conducting client due diligence (CDD)...

15th Aug

Precedents

Money Laundering Regulations 2017—independent money laundering compliance audit plan—law firms

Money Laundering Regulations 2017—independent money laundering compliance audit plan—law firmsThis document reflects draft Legal Sector Affinity Group...

15th Aug

Precedents

External suspicious activity report—reasons for suspicion sample wording

External suspicious activity report—reasons for suspicion sample wordingParties, issues and circumstancesLexatur LLP is a firm of solicitors...

Produced in partnership with Jonathan Fisher QC of Red Lion Chambers and Bright Line Law 15th Aug

Precedents

Training materials—AML and counter-terrorist financing—law firms

Training materials—AML and counter-terrorist financing—law firmsThis presentation has been designed as an aid to train your staff on anti-money...

15th Aug

Precedents

MLCO and nominated officer—combined job description and role profile—law firms

MLCO and nominated officer—combined job description and role profile—law firms1IntroductionThis job description and role profile relates to the...

15th Aug

Precedents

Mini training aid—AML—the law and red flags—post-training assessment questions—law firms

Mini training aid—AML—the law and red flags—post-training assessment questions—law firmsHow to use this testThese questions are designed to test your...

15th Aug

Precedents

Message from CEO/Senior Member/Senior Partner reinforcing the AML and counter-terrorist financing policy

Message from CEO/Senior Member/Senior Partner reinforcing the AML and counter-terrorist financing policySTOP PRESS: Draft Legal Sector Affinity Group...

15th Aug

Precedents

AML and counter-terrorist financing compliance declaration

AML and counter-terrorist financing compliance declarationMoney laundering is the process through which the true origin and ownership of the proceeds...

15th Aug

First
2
3
4
5
6
Last

AML & counter-terrorist financing

View Practice Compliance by content type:

Latest Practice Compliance News

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

OFAC settlement extends sanctions reach beyond US dollar

Practice Compliance weekly highlights—16 September 2021

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

Featured Practice Compliance content

What is a solicitor's undertaking?

SRA Code of Conduct for individuals and firms

Conflicts of interest 2019

Legal Services Board

Most recent AML & counter-terrorist financing content

Popular documents

Medco

179. List of offences triable either way.

Direct effect of EU law

SRA Code of Conduct for individuals and firms

Contact Us

Popular Links

Policies

Follow us