Agents & intermediaries

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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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9th Nov
Practice notes
Source of funds and wealth was a key focus of the SRA’s Preventing Money Laundering and Financing of Terrorism thematic review, published in March...
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9th Nov
Practice notes
This Practice Note provides an introduction to retained EU law, which is an entirely new legal concept introduced to UK domestic law in preparation...
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9th Nov
Precedents
DRAFTING FOR BREXIT: For the latest information on the impact of Brexit on the drafting, negotiation and enforceability of this Precedent, see...
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9th Nov
Precedents
How to use this testThese questions are designed to test your understanding after your attendance at our training on avoiding bribery and...
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9th Nov
Practice notes
The compliance officer for legal practice (COLP) sits at the heart of the firm's regulatory arrangements. This does not mean that the firm and its...
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9th Nov

Most recent Agents & intermediaries content

Practice notes
All commissions constitute the giving of a financial advantage, although they will not necessarily be bribes.Commissions may be facilitation payments,...
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Produced in partnership with Richard Furlong of Carmelite Chambers 18th Nov
Practice notes
Facilitating the performance of a duty by public officialsFacilitation payments, also known as facilitating or grease payments, are generally small...
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Produced in partnership with Richard Furlong of Carmelite Chambers 18th Nov
Practice notes
Due diligence measures for agents and intermediaries are summarised in Precedent: Anti-bribery and corruption—agents and intermediaries policy. This...
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16th Nov
Q&As
SRA requirementsThe SRA does not give a list of regulatory requirements on anti-bribery and corruption.However, it does require you to:•identify,...
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28th Sep
Q&As
Agent, intermediary or supplier?Your organisation can be held liable for acts of bribery by associated persons.The scope of this definition is broad...
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28th Sep
Q&As
Please note, this Q&A only considers UK bribery legislation.Payment of commissionsWe refer you to Practice Note: Commission, which outlines how all...
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28th Sep
Precedents

Please click for an Excel version of this register.

Please note that t

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27th Sep
Precedents
We run our business[es] with integrity. All of us must work together to ensure our business[es] remain[s] untainted by bribery and corruption.This FAQ...
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26th Sep
Precedents
We run our business[es] with integrity. All of us must work together to ensure our business[es] remain[s]. untainted by bribery and corruption.This...
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26th Sep
Precedents
Agents and intermediaries are third parties engaged to provide services for or on behalf of [Insert organisation's name] or to represent our...
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26th Sep
Precedents
IntroductionCompliance with bribery and corruption laws is critical to [insert organisation name][ and all its businesses].To raise awareness, protect...
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26th Sep
Precedents
This Flowchart can be used as a guide for staff involved in the anti-bribery and corruption due diligence process for appointing or monitoring agent...
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26th Sep
Precedents
1GeneralDate:[Insert date]Name of agent/intermediary:[Insert name]Reference provider:[Insert business name]Relationship with agent/intermediary (if...
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26th Sep
Precedents
To be completed by [insert name of organisation appointing the agent/intermediary].1Geographical factorsCountry where the agent or intermediary is...
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26th Sep
Precedents
To be completed by the agent/intermediary.Please complete, sign and return to [insert name].1GeneralCompany or individual name[Insert...
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26th Sep
Precedents
1GeneralWhy do we need to engage an agent or intermediary?[Insert details]Name of agent/intermediary[Insert name]Principal contact at...
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26th Sep
Precedents
SAR Reference Number:[insert number](nominated officer use only)A record of this Suspicious Activity Report (SAR) will be kept by the nominated...
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26th Sep
Precedents
From: [Insert name and job title].We run our business[es] with integrity. All of us must work together to ensure our business[es] [remains OR remain]...
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26th Sep
Precedents
1 Anti-bribery—short form—pro-customer Bribery Laws means the Bribery Act 2010[ and associated guidance published...
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26th Sep
Precedents
As we can be held liable for [bribery OR facilitation of tax evasion OR [insert relevant crime]] committed by an agent or intermediary while acting on...
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26th Sep

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