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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...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
Mini training aid—AML—funds—post-training assessment answers—law firmsQuestionAnswer1. What is money laundering?(a) The process through which proceeds...
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15th Aug
Precedents
Client due diligence process workflowThis Precedent Flowchart can be issued to staff to explain your process for conducting client due diligence (CDD)...
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15th Aug
Precedents
Money Laundering Regulations 2017—independent money laundering compliance audit plan—law firmsThis document reflects draft Legal Sector Affinity Group...
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15th Aug
Precedents
External suspicious activity report—reasons for suspicion sample wordingParties, issues and circumstancesLexatur LLP is a firm of solicitors...
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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 firmsThis presentation has been designed as an aid to train your staff on anti-money...
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15th Aug
Precedents
MLCO and nominated officer—combined job description and role profile—law firms1IntroductionThis job description and role profile relates to the...
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15th Aug
Precedents
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...
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15th Aug
Precedents
Message from CEO/Senior Member/Senior Partner reinforcing the AML and counter-terrorist financing policySTOP PRESS: Draft Legal Sector Affinity Group...
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15th Aug
Precedents
AML and counter-terrorist financing compliance declarationMoney laundering is the process through which the true origin and ownership of the proceeds...
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15th Aug
Precedents
Money Laundering Regulations 2017—nominated officer job description and role profile—law firmsThis document reflects draft Legal Sector Affinity Group...
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15th Aug
Precedents
Money Laundering Regulations 2017—independent audit report—law firms1General informationPerson(s) conducting audit[Insert name(s) and role(s) of...
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15th Aug
Precedents
AML and counter-terrorist financing cheat sheet—for staffWhat is money laundering?Money laundering is the process through which the proceeds of crime...
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15th Aug
Precedents
Mini training aid—AML—CDD—post-training assessment answers—law firmsQuestionAnswers1. Which of these is not part of our client due diligence (CDD)...
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15th Aug
Precedents
Money Laundering Regulations 2017—third party reliance registerThird party reliance register.This Precedent Third party reliance register can be used...
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15th Aug
Precedents
CDD beneficial ownership discrepancy report form1Instructions on completing this formIf during the course of completing CDD checks you discover a...
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15th Aug
Precedents
New client formInstructions for completionWhere you are opening a new matter for a new client, you should complete this form together with a new...
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15th Aug
Precedents
Mini training aid—AML—funds—post-training assessment questions—law firmsHow to use this testThese questions are designed to test your understanding...
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15th Aug
Precedents
Cash policy1Large payments made in cash may be a sign of money laundering or terrorist financing.2You must not accept any funds (cash or otherwise)...
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15th Aug
Precedents
Mini training aid—AML—funds—law firmsThe training materials are customisable.This training pack has been prepared in PowerPoint and therefore cannot...
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15th Aug
Precedents
AML and counter-terrorist financing policy—law firmsThis document reflects draft Legal Sector Affinity Group (LSAG) AML Guidance, published on 20...
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15th Aug

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