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Latest Practice Compliance News

Fear of failure, lack of resources influence UK enforcement agencies, lawmaker says

Fear of failure, lack of resources influence UK enforcement agencies, lawmaker says

The following Corporate Crime news provides comprehensive and up to date legal information on Fear of failure, lack of resources influence UK enforcement agencies, lawmaker says

Practice Compliance weekly highlights—2 December 2021

Practice Compliance weekly highlights—2 December 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—2 December 2021

The Economic Crime (Anti-Money Laundering) Levy

The Economic Crime (Anti-Money Laundering) Levy

The following Corporate Crime news provides comprehensive and up to date legal information on The Economic Crime (Anti-Money Laundering) Levy

Best practices in preparation for FCPA enforcement surge

Best practices in preparation for FCPA enforcement surge

The following Corporate Crime news provides comprehensive and up to date legal information on Best practices in preparation for FCPA enforcement surge

Featured Practice Compliance content

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...

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

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]

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 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...
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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...
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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...
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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,...
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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...
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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...
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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,...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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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...
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16th Nov
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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....
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16th Nov

Popular documents

European Insurance and Occupational Pensions Authority (EIOPA)

European Insurance and Occupational Pensions Authority (EIOPA)

European Insurance and Occupational Pensions Authority (EIOPA)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the UK’s withdrawal from the EU. Following IP completion day, key transitional arrangements

Subrogation in insurance and reinsurance

Subrogation in insurance and reinsurance

Subrogation in insurance and reinsuranceWhat is the right of subrogation?In the context of insurance and reinsurance, the right of subrogation entitles an insurer or reinsurer, having indemnified the (re)insured, to ‘step into its shoes’ to bring an action in the (re)insured’s name. For the purpose

Mediation—advantages and disadvantages

Mediation—advantages and disadvantages

Mediation—advantages and disadvantagesWhat is mediation?Mediation is one of the most recognised and common forms of alternative dispute resolution (ADR).It is a form of assisted ADR in the sense that there is a third-party neutral involved who meets with the parties and seeks to help them in

Derivative claim—what it is and when to use it

Derivative claim—what it is and when to use it

Derivative claim—what it is and when to use itA guide to specific terminology used in this Practice Note is provided—see below.What is a derivative claim?A derivative claim (or derivative action) is a claim brought or continued by a shareholder on behalf of the company in relation to a breach of