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Latest Practice Compliance News

Exemptions to Russia sanctions grow apace with the sanctions themselves

The following Corporate Crime news provides comprehensive and up to date legal information on Exemptions to Russia sanctions grow apace with the sanctions themselves

SRA collecting data on firms’ work within scope of the Money Laundering Regulations

The following Practice Compliance news provides comprehensive and up to date legal information on SRA collecting data on firms’ work within scope of the Money Laundering Regulations

Ticketmaster drops appeal of £1.25m UK data-breach fine

The following Corporate Crime news provides comprehensive and up to date legal information on Ticketmaster drops appeal of £1.25m UK data-breach fine

Coca-Cola case offers anti-bribery compliance lessons

The following Commercial news provides comprehensive and up to date legal information on Coca-Cola case offers anti-bribery compliance lessons

Featured Practice Compliance content

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...

Property and mortgage fraud—warning signs and good practice for staff

Property and mortgage fraud—warning signs and good practice for staffYou do not have to behave like a police officer but you do have to remain alert...

Compliance officer for finance and administration—COFA—title and duties 2011 [Archived]

Compliance officer for finance and administration—COFA—title and duties 2011 [Archived]This Practice Note explains the duties and qualifying...

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...

Practice notes

Protection for whistleblowers—law firms

Protection for whistleblowers—law firmsThis Practice Note summarises the law and practice in relation to whistleblowing as governed by the Employment...

16th Nov

Practice notes

Understanding the financial sanctions regime—a guide for law firms [Archived]

Understanding the financial sanctions regime—a guide for law firms [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This...

16th Nov

Practice notes

Final client bill

Final client billThis Practice Note deals with regulatory requirements and practical issues regarding the form and content of a final bill of costs to...

16th Nov

Practice notes

Insurance distribution activities—law firms

Insurance distribution activities—law firmsAs a general rule, law firms are not permitted to engage directly in insurance distribution activities,...

16th Nov

Precedents

Anti bribery and corruption Officer—ABC Officer—job description and role profile

Anti bribery and corruption Officer—ABC Officer—job description and role profileAnti-bribery and corruption Officer (ABC Officer) detailsName of...

16th Nov

Practice notes

Residual balances 2019—law firms

Residual balances 2019—law firmsThis Practice Note sets out the requirements of the SRA Accounts Rules 2019, in force from 25 November 2019, regarding...

16th Nov

Practice notes

Acting for yourself, friends and family

Acting for yourself, friends and familyThis Practice Note covers considerations where the firm wishes to act for one of its own partners or employees,...

16th Nov

Practice notes

Referral and fee sharing arrangements 2019

Referral and fee sharing arrangements 2019This Practice Note reflects requirements in the SRA Codes of Conduct 2019 (2019 Codes) in relation to...

16th Nov

Practice notes

Bogus law firms

Bogus law firmsWhat is a bogus law firm?The term 'bogus law firm' is used to describe a situation where a firm or individual that is not regulated by...

16th Nov

Precedents

Undertakings policy for property transactions

Undertakings policy for property transactions1Policy statement1.1It is the policy of [firm name] (‘the firm’) to conduct its business in compliance...

16th Nov

Practice notes

Pre-employment checks—law firms

Pre-employment checks—law firmsWhile the application form and interview process will give you some assurances as to a candidate's suitability for a...

16th Nov

Practice notes

SRA approval of managers 2011 [Archived]

SRA approval of managers 2011 [Archived]A firm's managers must be approved by the SRA. Solicitors and firms who are themselves authorised by the SRA...

16th Nov

Q&As

Should attendance notes be filed for all client meetings even when a narrative is provided in our time recording system?

Should attendance notes be filed for all client meetings even when a narrative is provided in our time recording system?There are no specific SRA...

16th Nov

Precedents

Anti-bribery and corruption—due diligence questionnaire for agent/intermediary

Anti-bribery and corruption—due diligence questionnaire for agent/intermediaryTo be completed by the agent/intermediary.Please complete, sign and...

16th Nov

Q&As

What CDD challenges are presented by coronavirus (COVID-19)?

What CDD challenges are presented by coronavirus (COVID-19)?STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20...

16th Nov

COVID-19

Precedents

Anti-bribery and corruption—hospitality decision tree

Anti-bribery and corruption—hospitality decision treeThis hospitality decision tree can help you decide whether or not to offer corporate hospitality....

16th Nov