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Latest Practice Compliance News

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

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

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

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?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 Crime prevention content

Q&As

It is becoming more common that conveyancers are asking for confirmation that the seller's solicitors have carried out ID checks and are satisfied that the seller is the registered proprietor. I am concerned about the transfer of AML and fraud risk particularly where the buyer's solicitors state they will be placing reliance upon the representations made by the seller's solicitors. Should my response be that the buyer should make/rely on their own checks?

It is becoming more common that conveyancers are asking for confirmation that the seller's solicitors have carried out ID checks and are satisfied...

Produced in partnership with Jeff Hardman of 12 New Square Chambers 3rd Aug

Practice notes

A-Z of corporate fraud

A-Z of corporate fraudCorporate fraud is any fraud committed against a business. Fraud impacting businesses can be both general frauds that target any...

3rd Aug

Precedents

Sanctions compliance representatives—contact information

Sanctions compliance representatives—contact informationIf you have any questions related to sanctions compliance, please raise them with [insert, eg...

1st Aug

Precedents

Trade & financial sanctions—FAQs

Trade & financial sanctions—FAQsWhat are sanctions?Sanctions are non-permanent international restrictions or prohibitions aimed at:•encouraging a...

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 information mandatory or voluntary?

What is the legal basis for HM Treasury Office of Financial Sanctions Implementation (OFSI) annual frozen assets review, and are OFSI requests for...

1st Aug

Precedents

Record of suspected financial sanctions target match investigation

Record of suspected financial sanctions target match investigation1General informationDate of investigation[Insert date]Person conducting...

1st Aug

Precedents

Financial sanctions breach report form

Financial sanctions breach report formPlease supply as much information as possible about this suspected breach.If you require any help to complete...

1st Aug

Practice notes

Financial sanctions compliance—examples of good (and poor) practice

Financial sanctions compliance—examples of good (and poor) practiceThe Financial Conduct Authority (FCA) has provided some examples of good practice...

1st Aug

Precedents

Sanctions breach—panic sheet

Sanctions breach—panic sheet1Consider seeking external adviceGiven the complicated nature of most sanctions regimes, the potential for offences to...

1st Aug

Practice notes

UK sanctions regimes currently in force

UK sanctions regimes currently in forceThis Practice Note provides information on UK sanctions regimes currently in force, including regimes under the...

1st Aug

Practice notes

Enhancing watch list screening

Enhancing watch list screeningThe complex nature of watch list screening creates challenges and presents risks. This Practice Note summarises the...

1st Aug

Precedents

Sanctions training record

Sanctions training recordPlease click for an Excel version of this register.GeneralInsert course name/description and reason for training.Course...

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 website?

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...

1st Aug

Practice notes

International official financial sanctions lists

International official financial sanctions listsCountryRegulatory bodySanction List(Links to sanctions lists are provided, where publicly...

1st Aug

Practice notes

Financial sanctions compliance resources

Financial sanctions compliance resourcesThis Practice Note provides a summary of and links to financial sanctions compliance resources available in...

1st Aug

Q&As

Under the US Sanctions regime, if any entity is owned in the aggregate, directly or indirectly, 50% or more by one or more blocked persons, it is itself considered to be a blocked person. What are the equivalent rules regarding minority ownership and/or control which apply under the UK/EU regime?

Under the US Sanctions regime, if any entity is owned in the aggregate, directly or indirectly, 50% or more by one or more blocked persons, it is...

1st Aug

Precedents

Money laundering or terrorist financing incident—panic sheet

Money laundering or terrorist financing incident—panic sheet1. Money laundering incident management teamYou need to be able to show you’ve taken a...

1st Aug

Precedents

Financial sanctions breach response form and action plan

Financial sanctions breach response form and action plan1General informationDate[Insert date]Name of person completing this response form and action...

1st Aug

Q&As

What are the consequences for pension scheme trustees if pensions are paid to members on the ‘Consolidated List of Financial Sanctions Targets’ issued by the Office of Financial Sanctions Implementation? What obligations do pensions trustees have to carry out due diligence to safeguard against pensions being paid to such individuals?

What are the consequences for pension scheme trustees if pensions are paid to members on the ‘Consolidated List of Financial Sanctions Targets’ issued...

31st Jul

Q&As

Is an introducer an associated person for the purpose of tax evasion facilitation prevention—law firms?

Is an introducer an associated person for the purpose of tax evasion facilitation prevention—law firms?What is the issue?The Criminal Finances Act...

31st Jul

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Crime prevention

View Practice Compliance by content type:

Latest Practice Compliance News

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

Practice Compliance weekly highlights—29 July 2021

How anti-corruption push affects US companies operating abroad

EU seeks to improve data transfers to boost AML fight

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 Crime prevention content

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Subrogation in insurance and reinsurance

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Contract interpretation—express terms in contracts

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