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Latest Practice Compliance News

European Union and UK government initiatives on money laundering and terrorism finance

European Union and UK government initiatives on money laundering and terrorism finance

The following Corporate Crime news provides comprehensive and up to date legal information on European Union and UK government initiatives on money laundering and terrorism finance

Practice Compliance weekly highlights—29 July 2021

Practice Compliance weekly highlights—29 July 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—29 July 2021

How anti-corruption push affects US companies operating abroad

How anti-corruption push affects US companies operating abroad

The following Corporate Crime news provides comprehensive and up to date legal information on How anti-corruption push affects US companies operating abroad

EU seeks to improve data transfers to boost AML fight

EU seeks to improve data transfers to boost AML fight

The following Corporate Crime news provides comprehensive and up to date legal information on EU seeks to improve data transfers to boost AML fight

Featured Practice Compliance content

What is a solicitor's undertaking?

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 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 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 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...
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19th May
tag iconIn-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...
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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...
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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...
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Produced in partnership with Adam Cygan of University of Leicester 19th May
tag iconBrexit
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,...
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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...
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19th May
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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)...
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19th May
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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...
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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...
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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...
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Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May
tag iconBrexit
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...
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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...
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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...
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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...
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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...
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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...
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19th May
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Most recent Authorisation & regulation content

Practice notes

New law firms—applying for SRA authorisation

New law firms—applying for SRA authorisationThis Practice Note provides guidance on applying to the Solicitors Regulation Authority (SRA) for...
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31st Jul
Practice notes

SRA approval of a firm's owners 2011 [Archived]

SRA approval of a firm's owners 2011 [Archived]A firm's owners must be approved by the Solicitors Regulation Authority (SRA). This does not, however,...
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31st Jul
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...
Read More >
31st Jul
Practice notes

Compliance officer for finance and administration—COFA—authorisation and disqualification 2011 [Archived]

Compliance officer for finance and administration—COFA—authorisation and disqualification 2011 [Archived]This Practice Note discusses the approval...
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31st Jul
Practice notes

Compliance officer for legal practice (COLP)—authorisation and disqualification 2011 [Archived]

Compliance officer for legal practice (COLP)—authorisation and disqualification 2011 [Archived]This Practice Note discusses the approval process a...
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31st Jul
Practice notes

SRA's supervision function

SRA's supervision functionThe Solicitors Regulation Authority (SRA) has three core operational functions:•authorisation (see Practice Note: SRA's...
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31st Jul
Practice notes

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...
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31st Jul
Practice notes

Compliance Officers 2019—law firms

Compliance Officers 2019—law firmsThis Practice Note provides guidance on the role and responsibility of compliance officers in law firms, ie the...
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31st Jul
Practice notes

Looking to the future: SRA proposals for reform of the Handbook [Archived]

Looking to the future: SRA proposals for reform of the Handbook [Archived]Less than five years since the SRA Handbook 2011 came into force in October...
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31st Jul
Practice notes

Separate businesses from 1 November 2015 [Archived]

Separate businesses from 1 November 2015 [Archived]From 1 November 2015, the separate business rules changed fundamentally in an attempt to level the...
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31st Jul
Practice notes

Compliance officers and breach reporting—SRA 2011 regime and SRA 2019 regime compared

Compliance officers and breach reporting—SRA 2011 regime and SRA 2019 regime comparedThis Practice Note contrasts the requirements in the SRA’s 2011...
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31st Jul
Practice notes

Breach reporting 2019—law firms

Breach reporting 2019—law firmsThis Practice Note is based on reporting requirements in the SRA Codes of Conduct 2019 (in force from 25 November 2019)...
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31st Jul
Practice notes

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...
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31st Jul
Practice notes

Separate business and unbundling legal services—SRA 2011 regime and SRA 2019 regime compared

Separate business and unbundling legal services—SRA 2011 regime and SRA 2019 regime comparedThis Practice Note contrasts the requirements in the SRA’s...
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31st Jul
Practice notes

Risk-based regulation

Risk-based regulationThe Solicitors Regulation Authority (SRA) cannot police compliance by every solicitor and firm against every regulatory...
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31st Jul
Practice notes

Firm-based regulation

Firm-based regulationHistorically, only individuals were subject to professional rules and requirements rather than the entities through which they...
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31st Jul
Practice notes

Relationship between legal regulators

Relationship between legal regulatorsThere are six main regulatory bodies concerned specifically with the regulation of solicitors’ practices. These...
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31st Jul
Practice notes

Solicitors Regulation Authority

Solicitors Regulation AuthorityThe Solicitors Regulation Authority (SRA) is the independent regulatory arm of the Law Society. It...
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31st Jul
Practice notes

Dealing with freelance solicitors

Dealing with freelance solicitorsThe SRA Standards and Regulations 2019, in force from 25 November 2019, introduce a new method of practising: the...
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31st Jul
Practice notes

Looking to the future—what to expect following the LSB’s decision on reform of the SRA Handbook—law firms [Archived]

Looking to the future—what to expect following the LSB’s decision on reform of the SRA Handbook—law firms [Archived]The Solicitors Regulation...
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31st Jul

Popular documents

Convention rights—structure of qualified rights

Convention rights—structure of qualified rights

Convention rights—structure of qualified rightsThe rights preserved under the European Convention on Human Rights (ECHR), as set out in the Human Rights Act 1998 Sch 1, can be broadly divided into three groups:•absolute rights—which cannot be interfered with by the state or derogated from even in a

Highways, street works and statutory undertakers

Highways, street works and statutory undertakers

Highways, street works and statutory undertakersCoronavirus (COVID-19): This Practice Note contains guidance on matters that have temporarily been altered to assist in the management of the coronavirus (COVID-19) pandemic. For further information, see: Traffic Orders Procedure (Coronavirus)

Nuisance—establishing a claim for private nuisance

Nuisance—establishing a claim for private nuisance

Nuisance—establishing a claim for private nuisancePrivate nuisance—what situations can give rise to a claim?Private nuisance normally involves interference with the claimant’s enjoyment of their land, usually by noise or smell or by the causing of actual physical damage to their property. In

Negligence—when is the duty of care breached?

Negligence—when is the duty of care breached?

Negligence—when is the duty of care breached?Having established that a duty of care exists (see Practice Note: Negligence—when does a duty of care arise?), it is then necessary to consider whether or not there has been a breach of that duty. This will depend on a number of factors outlined below and