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Latest Practice Compliance News

Financial sanctions guidance shows subtle policy shift

Financial sanctions guidance shows subtle policy shift

The following Corporate Crime news provides comprehensive and up to date legal information on Financial sanctions guidance shows subtle policy shift

Question of the week: what constitutes ‘conveyancing’ under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017? Would secured lending where there is no change of title fall under ‘conveyancing’ as above?

Question of the week: what constitutes ‘conveyancing’ under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017? Would secured lending where there is no change of title fall under ‘conveyancing’ as above?

Question of the week: what constitutes ‘conveyancing’ under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017? Would secured lending where there is no change of title fall under ‘conveyancing’ as above?

Practice Compliance weekly highlights—15 April 2021

Practice Compliance weekly highlights—15 April 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—15 April 2021

SEC official says agency can help self-reporting companies dig up information, achieve 'closure' in US FCPA cases

SEC official says agency can help self-reporting companies dig up information, achieve 'closure' in US FCPA cases

The following Corporate Crime news provides comprehensive and up to date legal information on SEC official says agency can help self-reporting companies dig up information, achieve 'closure' in US FCPA cases

Featured Practice Compliance content

Facilitation payments under the Bribery Act 2010

Facilitation payments under the Bribery Act 2010

Facilitating the performance of a duty by public officialsFacilitation payments, also known as facilitating or grease payments, are generally small...

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 courts. Failure to comply with an...

Active bribery, passive bribery and bribing foreign public officials

Active bribery, passive bribery and bribing foreign public officials

The purpose of this Practice Note is to provide a general understanding of the offences under section 1, 2 and 6 of the Bribery Act 2010 (BA 2010). It...

High-risk third countries tracker

High-risk third countries tracker

This Practice Note lists high-risk third countries identified by the Financial Action Task Force (FATF), HM Treasury and the European Commission as...

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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9th Nov
tag iconIn-house
Practice notes

AML and counter-terrorist financing—source of funds

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
tag iconIn-house
Practice notes

Introduction to retained EU law

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
tag iconBrexit
Precedents

Standard contractual clauses—set II—controller to controller (Model Clauses)

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

Anti-bribery and corruption for law firms—post-training assessment questions

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

Compliance officer for legal practice—COLP—title and duties 2011 [Archived]

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 Authorisation & approval content

Q&As

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 EU tribunals such as the Court of Justice of the European...
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8th Apr
tag iconBrexit
Practice notes

Working with European lawyers—the Registered European Lawyer (REL) regime

At 11 pm (GMT) on 31 December 2020, the Brexit transition/implementation period, entered into following the UK’s withdrawal from the EU, came to an...
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1st Apr
tag iconBrexit
Practice notes

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

The Solicitors Regulation Authority (SRA) operates a registration regime for foreign lawyers. Once registered, a registered foreign lawyer (RFL) is...
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31st Mar
tag iconIn-house
Practice notes

New law firms—applying for SRA authorisation

This Practice Note provides guidance on applying to the Solicitors Regulation Authority (SRA) for authorisation to run your business as an...
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24th Mar
Practice notes

Dealing with freelance solicitors

The SRA Standards and Regulations 2019, in force from 25 November 2019, introduce a new method of practising: the freelance solicitor.This Practice...
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17th Dec
Practice notes

Compliance Officers 2019—law firms

This Practice Note provides guidance on the role and responsibility of compliance officers in law firms, ie the Compliance Officer for Legal Practice...
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7th Dec
Practice notes

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 benefit from deemed approval. All other...
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7th Dec
Practice notes

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, apply to all owners in the everyday sense of...
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7th Dec
Practice notes

SRA authorisation of firms and ABSs 2011 [Archived]

The SRA has three core operational functions: authorisation, supervision and enforcement.The authorisation function deals with applications by:•firms...
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7th Dec
Practice notes

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

This Practice Note discusses the approval process all prospective compliance officers for finance and administration (COFAs) must go through to be...
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7th Dec
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 firm's regulatory arrangements. This does not mean that the firm and its...
Read More >
7th Dec
Practice notes

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

This Practice Note discusses the approval process a prospective compliance officer for legal practice (COLP) must go through to satisfy the SRA's...
Read More >
7th Dec
Practice notes

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

This Practice Note explains the duties and qualifying requirements for a Compliance officer for finance and administration (COFA). The COFA is...
Read More >
7th Dec

Popular documents

LEXISNEXIS

Conditions precedent in commercial contracts

This Practice Note considers the meaning and use of conditions precedent in commercial arrangements. It also considers typical conditions precedent and drafting issues.What are conditions precedent?A condition precedent in a commercial contract details an event which must take place before:•a

LEXISNEXIS

Wounding or causing grievous bodily harm with intent

The offence of causing grievous bodily harm with intentWounding or causing grievous bodily harm (GBH) with intent is triable only in the Crown Court on indictment. Elements of the offence Under the Offences against the Person Act 1861 (OATPA 1861), the prosecution must prove the defendant unlawfully

LEXISNEXIS

Fiduciary Duties

Who is a fiduciary?There is no comprehensive list of the relationships which give rise to the existence of fiduciary duties under common law. Some relationships are automatically fiduciary, eg those between trustee and beneficiary, solicitor and client, principal and agent, business partner and

LEXISNEXIS

Tomlin orders

Brexit: The UK's departure from the EU on exit day ie Friday 31 January 2020 has implications for practitioners dealing with provisions in the CPR relevant to cross border matters, including CPR 5.4C (discussed below). For guidance on the impact of Brexit on the CPR, see Cross border