This Practice Note provides guidance on client due diligence (CDD) which is a central pillar of the anti-money laundering (AML) and counter-terrorist...
This Practice Note explains:•what powers the court has to enforce undertakings•when it is likely to exercise those powersBreach of an undertaking is...
This Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and Regulations, in force from 25 November 2019. The...
This Practice Note sets out the requirements of the SRA Accounts Rules 2019 (the 2019 Rules), in force from 25 November 2019, together with supporting...
You should have processes whereby staff must report to your nominated officer any knowledge or suspicion of:•money laundering•mortgage fraud•fraud•tax...
Employees must report their concerns to your nominated officer, who is then under a legal obligation under the Proceeds of Crime Act 2002 (POCA 2002)...
Staff must report their concerns to your nominated officer, who is then under a legal obligation under the Proceeds of Crime Act 2002 (POCA 2002) and...
1Preliminary screening1.1GuidanceIt is important that certain types of fraud are reported and managed via the relevant dedicated reporting mechanism...
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