Policy & procedures

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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...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

Precedents
Anti-bribery and corruption—gifts and hospitality policyFrom: [Insert name and job title].We run our business[es] with integrity. All of us must work...
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22nd Jul
Precedents
Message from CEO reinforcing the anti-bribery and corruption policyFrom [insert name and job title]Bribery and corruption remain major issues in world...
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6th Jul
Q&As
If a company self-reports a corrupt transaction but withholds details of other incidences of bribery, will the SFO give them the benefit of having...
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5th Jun
Practice notes
Anti-bribery—establishing adequate procedures—law firmsIt is an offence to pay or receive a bribe under the Bribery Act 2010 (BA 2010). Companies and...
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5th Jun
Precedents
Internal suspicious activity report—SAR—formThis internal suspicious activity report (SAR) form is intended to make the process of submitting SARs to...
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5th Jun
Precedents
Anti-bribery and corruption—charitable and political donations policyFrom: [Insert name and job title].We run our business[es] with integrity. All of...
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5th Jun
Precedents
Memorandum to board accompanying anti-bribery policySummaryThe Bribery Act 2010 (BA 2010) came into force on 1 July 2011. BA 2010 applies to any...
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5th Jun
Precedents
Anti-bribery and corruption policy—for law firms1Introduction1.1Bribery and corruption remain major issues in world trade, despite the many dedicated...
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5th Jun
Precedents
Anti bribery and corruption Officer—ABC Officer—job description and role profileAnti-bribery and corruption Officer (ABC Officer) detailsName of...
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5th Jun
Precedents
Anti-bribery and corruption compliance declarationA bribe is a financial payment or other form of reward or advantage, whether direct or indirect,...
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5th Jun
Precedents
Message from CEO on introduction of anti-bribery and corruption policyFrom [[insert job title], ][name]Bribery and corruption remain a major issue in...
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5th Jun
Precedents
Anti-bribery and corruption—agents and intermediaries policyFrom: [Insert name and job title].We run our business[es] with integrity. All of us must...
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5th Jun
Precedents

Anti-bribery and corruption compliance declaration register

Please click for the

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5th Jun
Precedents
Whistleblowing report formReports under the Whistleblowing policy can be made orally or in writing and they may be made anonymously or include the...
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5th Jun
Precedents
Anti-bribery and corruption policy and procedure planning and implementation timetableThis Precedent sets out a typical timetable for implementing an...
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5th Jun
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

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