Fraud prevention

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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 Nov
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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9th Nov
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 Nov
Practice notes
The purpose of this Practice Note is to provide a general understanding of the offences under section 1, 2 and 6 of the Bribery Act 2010 (BA 2010). It...
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Produced in partnership with Joanne Kane of Carmelite Chambers 12th Jan
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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9th Nov
Practice notes
Facilitating the performance of a duty by public officialsFacilitation payments, also known as facilitating or grease payments, are generally small...
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Produced in partnership with Richard Furlong of Carmelite Chambers 12th Jan

Most recent Fraud prevention content

Practice notes
Commercial organisations cannot function without staff. Unfortunately, however, your employees can pose serious threats to your business.Employees can...
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5th May
Practice notes
This Practice Note sets out the regulatory requirements that apply to firms providing conveyancing and/or property and mortgage related services.What...
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5th May
Practice notes
Corporate fraud is any fraud committed against a business. Fraud impacting businesses can be both general frauds that target any and all businesses,...
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5th May
Practice notes
This Practice Note provides guidance for law firms on how to handle a client account fraud and explains the regulatory and legal requirements that...
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5th May
Practice notes
Any firm that has a client account is vulnerable and at risk of theft of confidential information and data which could lead to theft of money from...
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5th May
Practice notes
What is a bogus law firm?The term 'bogus law firm' is used to describe a situation where a firm or individual that is not regulated by the SRA...
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30th Apr
Practice notes
Fraud is the deliberate use of deception or dishonesty to deprive, disadvantage or cause loss (usually financial) to another person or...
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30th Apr
Practice notes
You do not have to behave like a police officer but you do have to remain alert to the warning signs of property and mortgage fraud and make the sort...
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30th Apr
Precedents
This presentation has been designed as a training aid that you can use to introduce your staff to property and mortgage fraud prevention and awareness...
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30th Apr
Precedents
1Introduction1.1We have performed a firm-wide assessment of the risk of our services being used for the purposes of fraud. This document records the...
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30th Apr
Precedents
This internal suspicious activity report (SAR) form is intended to make the process of submitting SARs to the nominated officer as easy as possible....
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29th Apr
Practice notes
While the application form and interview process will give you some assurances as to a candidate's suitability for a vacant position, some additional...
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27th Apr
Precedents
1Introduction1.1This policy supplements the Company’s [data protection policy (employment)].1.2This document sets out the Company’s policy on asking...
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22nd Apr
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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18th Mar
Q&As
Practice Note: Email disclaimers provides sample wording for commercial email disclaimers. Law firms may wish to consider something along the...
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15th Feb
Precedents
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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14th Feb
Precedents
QuestionAdditional guidanceYes/NoAction points (if any)Have you appointed someone who is responsible for overall fraud prevention?Most areas of the...
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14th Feb
Precedents
1Keep track of Scam alerts issued by the SRA.2Satisfy yourself the firm you are corresponding with looks genuine.Look for simple spelling errors or...
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14th Feb
Precedents
This Precedent flowchart is intended to be used by the person responsible for receiving fraud reports from your staff and will guide them through the...
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14th Feb
Precedents
1Preliminary screeningIt is important that certain types of fraud are reported and managed via the relevant dedicated reporting mechanism to ensure...
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14th Feb

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