Financial sanctions

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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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28th Oct
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
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 sanctions content

Practice notes
This Practice Note describes the position on licences and exemptions in financial sanctions in the UK during the implementation period. As of exit day...
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25th Sep
Practice notes
This document contains guidance on subjects impacted by the UK’s withdrawal from the EU. For further reading, see Practice Note: Development of...
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25th Sep
Practice notes
Brexit: The UK has left the EU on the basis of the Withdrawal Agreement as implemented in the European Union (Withdrawal) Act 2018 and the European...
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25th Sep
Practice notes
This document contains guidance on subjects impacted by the UK’s withdrawal from the EU. For further reading, see Practice Note: Development of...
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25th Sep
Practice notes
The financial sanctions regime remains a myth to some organisations. You need to understand that it applies to you. This brief Practice Note outlines...
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25th Sep
Practice notes
This document contains guidance on subjects impacted by the UK’s withdrawal from the EU. For further reading, see Practice Note: Development of...
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25th Sep
Practice notes
This document contains guidance on subjects impacted by the UK’s withdrawal from the EU. For further reading, see Practice Note: Development of...
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26th Sep
Practice notes
This document contains guidance on subjects impacted by the UK’s withdrawal from the EU. For further reading, see Practice Note: Development of...
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26th Sep
Precedents
From [insert name], [insert job title]Financial sanctions are restrictive measures imposed on targeted countries, governments, entities, individuals...
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26th Sep
Precedents
How to use this testThese questions are designed to test your understanding following your attendance at our training on financial sanctions.After you...
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26th Sep
Precedents
This document contains guidance on subjects impacted by the UK’s withdrawal from the EU. For further reading, see Practice Note: Development of...
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26th Sep
Precedents
International financial sanctions in the UK are largely implemented via the Terrorist Asset-Freezing etc Act 2010 (TAFA 2010) together with various...
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26th Sep
Precedents
1Introduction1.1We have performed an organisation-wide assessment of the areas where we are most at risk of breaching financial sanctions.1.2Our...
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26th Sep
Precedents
What are sanctions?Sanctions are non-permanent international restrictions or prohibitions aimed at:•encouraging a change in the behaviour of a...
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26th Sep
Precedents
If you have any questions related to sanctions compliance, please raise them with [your manager AND/OR a company lawyer AND/OR your trade sanctions...
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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
Please supply as much information as possible about this suspected breach.If you require any help to complete this form, please contact [your...
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26th Sep
Precedents
1General informationDate of investigation[insert date]Person conducting investigation[insert name]Date sanctions match report form received[insert...
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26th Sep
Precedents
1General informationDate[Insert date]Name of person completing this response form and action plan[Insert name]Date sanctions breach report form...
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26th Sep
Practice notes
BREXIT: This Practice Note includes information on the designations on sanctions in the UK under EU law and how it is impacted by the UK’s decision to...
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26th Sep

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