Crime prevention

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Practice notes
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
Practice notes
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]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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...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
Practice notes
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
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
Practice notes
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
Practice notes
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
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 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
Practice notes
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 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 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]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
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) regimeAt 11 pm (GMT) on 31 December 2020, the Brexit transition/implementation...
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19th May

Most recent Crime prevention content

Practice notes
A-Z of corporate fraudCorporate fraud is any fraud committed against a business. Fraud impacting businesses can be both general frauds that target any...
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3rd Aug
Precedents
Sanctions compliance representatives—contact informationIf you have any questions related to sanctions compliance, please raise them with [insert, eg...
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1st Aug
Precedents
Trade & financial sanctions—FAQsWhat are sanctions?Sanctions are non-permanent international restrictions or prohibitions aimed at:•encouraging a...
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1st Aug
Q&As
What is the legal basis for HM Treasury Office of Financial Sanctions Implementation (OFSI) annual frozen assets review, and are OFSI requests for...
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1st Aug
Precedents
Record of suspected financial sanctions target match investigation1General informationDate of investigation[Insert date]Person conducting...
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1st Aug
Precedents
Financial sanctions breach report formPlease supply as much information as possible about this suspected breach.If you require any help to complete...
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1st Aug
Practice notes
Financial sanctions compliance—examples of good (and poor) practiceThe Financial Conduct Authority (FCA) has provided some examples of good practice...
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1st Aug
Precedents
Sanctions breach—panic sheet1Consider seeking external adviceGiven the complicated nature of most sanctions regimes, the potential for offences to...
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1st Aug
Practice notes
UK sanctions regimes currently in forceThis Practice Note provides information on UK sanctions regimes currently in force, including regimes under the...
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1st Aug
Practice notes
Enhancing watch list screeningThe complex nature of watch list screening creates challenges and presents risks. This Practice Note summarises the...
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1st Aug
Precedents
Sanctions training recordPlease click for an Excel version of this register.GeneralInsert course name/description and reason for training.Course...
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1st Aug
Q&As
Is there a moral obligation for an organisation with a total turnover less than £36m to publish a slavery and human trafficking statement on its...
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1st Aug
Practice notes
International official financial sanctions lists​​Country​​Regulatory body​​Sanction List(Links to sanctions lists are provided, where publicly...
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1st Aug
Practice notes
Financial sanctions compliance resourcesThis Practice Note provides a summary of and links to financial sanctions compliance resources available in...
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1st Aug
Precedents
Money laundering or terrorist financing incident—panic sheet1. Money laundering incident management teamYou need to be able to show you’ve taken a...
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1st Aug
Precedents
Financial sanctions breach response form and action plan1General informationDate[Insert date]Name of person completing this response form and action...
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1st Aug
Q&As
Is an introducer an associated person for the purpose of tax evasion facilitation prevention—law firms?What is the issue?The Criminal Finances Act...
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31st Jul

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