Financial crime investigations

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Practice notes
This Practice Note provides guidance on client due diligence (CDD) which is a central pillar of the anti-money laundering (AML) and counter-terrorist...
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12th Oct
Practice notes
This Practice Note lists high-risk third countries identified by the Financial Action Task Force (FATF), HM Treasury and the European Commission as...
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9th Oct
Practice notes
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 Oct
Practice notes
The way the Solicitors Regulation Authority (SRA) regulates the solicitors’ profession has been evolving since its inception—from a prescriptive...
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8th Oct
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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30th Sep
Practice notes
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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27th Sep
Practice notes
Closing a client matter properly is a basic client care, risk management and housekeeping requirement. There are also regulatory and best practice...
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26th Sep
Practice notes
This Practice Note deals with regulatory requirements and practical issues regarding the form and content of a final bill of costs to a client. It...
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26th Sep
Practice notes
This Practice Note is based on reporting requirements in the SRA Codes of Conduct 2019 (in force from 25 November 2019) as amended by the SRA...
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26th Sep
Precedents
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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26th Sep
Practice notes
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...
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26th Sep
Practice notes
This Practice Note explains:•what powers the court has to enforce undertakings•when it is likely to exercise those powersBreach of an undertaking is...
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25th Sep
Practice notes
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...
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25th Sep
Practice notes
This Practice Note lists all new and updated content to reflect the SRA Standards and Regulations, in force from 25 November 2019.The Standards and...
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25th Sep
Practice notes
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...
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25th Sep
Practice notes
Brexit: As of exit day (31 January 2020), the UK is no longer an EU Member State, but it has entered an implementation period during which it...
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2nd Sep

Most recent Financial crime investigations content

Practice notes
You should have processes whereby staff must report to your nominated officer any knowledge or suspicion of:•money laundering•mortgage fraud•fraud•tax...
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25th Sep
Practice notes
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)...
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25th Sep
Practice notes
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...
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26th Sep
Precedents
1Preliminary screening1.1GuidanceIt is important that certain types of fraud are reported and managed via the relevant dedicated reporting mechanism...
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26th Sep
Precedents
1Consider seeking external adviceGiven the complicated nature of most sanctions regimes, the potential for offences to have been committed across...
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26th Sep
Precedents
This Precedent panic sheet takes you/the nominated officer through the initial steps in responding to a report of knowledge or suspicion of money...
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26th Sep
Precedents
A: General informationDate of review[Insert date]Person(s) conducting review[Insert name]B: DataCriteriaOver the last 12 monthsNumber of orders,...
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26th Sep
Precedents
1Introduction1.1We have processes whereby staff must report any knowledge or suspicion of money laundering, mortgage fraud, bribery, corruption,...
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29th Sep

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