Financial sanctions

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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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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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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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Practice notes
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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
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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
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
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
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 Financial sanctions content

Practice notes
International official financial sanctions lists​​Country​​Regulatory body​​Sanction List(Links to sanctions lists are provided, where publicly...
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16th Sep
Practice notes
Financial sanctions—reporting obligationsThis Practice Note sets out the circumstances in which you may be required to report on frozen accounts...
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14th Sep
Practice notes
The financial sanctions regime—managing compliance for law firmsThe financial sanctions regime applies to all law firms. This Practice Note explains...
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14th Sep
Practice notes
Understanding the financial sanctions regime—a guide for law firmsThis Practice Note explains the position in the UK at the end of the Brexit...
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14th Sep
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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7th Sep
Practice notes
Development of sanctions regime in the UK during the Brexit transition period [Archived]ARCHIVED: This Practice Note has been archived and is not...
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6th Sep
Practice notes
Designation of sanctions targets under the UN sanctions, UK sanctions and EU sanctions regimesWith the passing of the Sanctions and Anti-Money...
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Produced in partnership with Roger Matthews of Dentons, John Binns and Umar Azmeh of BCL Solicitors LLP 6th Sep
Practice notes
Sanctions regime—global human rightsOn 6 July 2020, the UK introduced its first autonomous sanctions regime under the Sanctions and Anti-Money...
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Produced in partnership with John Binns of BCL Solicitors LLP 6th Sep
Precedents
Financial sanctions policy1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made...
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5th Sep
Precedents
Record of suspected financial sanctions target match investigation1General informationDate of investigation[Insert date]Person conducting...
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22nd 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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22nd 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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22nd 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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22nd Aug
Practice notes
Licences and exemptions in financial sanctionsThe UK’s domestic sanctions framework is governed by the Sanctions and Anti-money Laundering Act 2018...
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Produced in partnership with Roger Matthews of Dentons and John Binns of BCL Solicitors LLP 20th Aug
Practice notes
Financial sanctions—offencesSanctions and Anti-Money Laundering Act 2018 (SAMLA 2018) created a UK specific framework for the implementation and...
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Produced in partnership with Roger Matthews of Dentons and John Binns of BCL Solicitors LLP 20th Aug
Practice notes
Financial sanctions regimes in other jurisdictionsIt is important to consider financial sanctions imposed by other jurisdictions and what impact these...
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20th Aug
Practice notes
The financial sanctions regime—common misconceptionsThe financial sanctions regime remains a myth to some organisations. You need to understand that...
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20th 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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20th 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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20th Aug
Precedents
Message from CEO/Senior Member/Senior Partner on the introduction of a financial sanctions policyFrom [insert name], [insert job title]Financial...
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15th Aug

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