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Latest Practice Compliance News

A review of the position six months on from the Supreme Court’s decision in the FCA Business Interruption Insurance Test Case (FCA v Arch)

The following Commercial news provides comprehensive and up to date legal information on A review of the position six months on from the Supreme Court’s decision in the FCA Business Interruption Insurance Test Case (FCA v Arch)

Practice Compliance weekly highlights—22 July 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—22 July 2021

The emerging role of judicial approval and the absence of findings of fact in DPAs (SFO v Amec Foster Wheeler Energy Ltd)

The following Corporate Crime news provides comprehensive and up to date legal information on The emerging role of judicial approval and the absence of findings of fact in DPAs (SFO v Amec Foster Wheeler Energy Ltd)

Practice Compliance forecast as at 20 July 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance forecast as at 20 July 2021

Featured Practice Compliance content

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 firmsThis Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and...

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 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...

19th May

In-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...

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...

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...

Produced in partnership with Adam Cygan of University of Leicester 19th May

Brexit

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,...

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...

19th May

In-house

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)...

19th May

In-house

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...

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...

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...

Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May

Brexit

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...

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...

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...

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...

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...

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...

19th May

Brexit

Most recent Authorisation & approval content

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...

5th Jul

Practice notes

Working with foreign lawyers—the Registered Foreign Lawyer (RFL) regime

Working with foreign lawyers—the Registered Foreign Lawyer (RFL) regimeThe Solicitors Regulation Authority (SRA) operates a registration regime for...

5th Jul

In-house

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...

5th Jul

Brexit

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...

29th Jun

Q&As

Can I still practice EU law if the UK is no longer in the EU?

Can I still practice EU law if the UK is no longer in the EU?Only lawyers qualified in an EU Member State are able to practise EU law or argue before...

28th Jun

Brexit

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...

5th Jun

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...

5th Jun

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,...

5th Jun

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...

5th Jun

Practice notes

SRA authorisation of firms and ABSs 2011 [Archived]

SRA authorisation of firms and ABSs 2011 [Archived]The SRA has three core operational functions: authorisation, supervision and enforcement.The...

5th Jun

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...

5th Jun

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...

5th Jun

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...

5th Jun

Authorisation & approval

View Practice Compliance by content type:

Latest Practice Compliance News

A review of the position six months on from the Supreme Court’s decision in the FCA Business Interruption Insurance Test Case (FCA v Arch)

Practice Compliance weekly highlights—22 July 2021

The emerging role of judicial approval and the absence of findings of fact in DPAs (SFO v Amec Foster Wheeler Energy Ltd)

Practice Compliance forecast as at 20 July 2021

Featured Practice Compliance content

What is a solicitor's undertaking?

SRA Code of Conduct for individuals and firms

Conflicts of interest 2019

Legal Services Board

Most recent Authorisation & approval content

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