Fraud prevention

View Practice Compliance by content type:

Featured Practice Compliance content

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...
Read More >
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...
Read More >
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...
Read More >
9th Oct
Practice notes
The way the Solicitors Regulation Authority (SRA) regulates the solicitors’ profession has been evolving since its inception—from a prescriptive...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
2nd Sep

Most recent Fraud prevention content

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...
Read More >
25th Sep
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...
Read More >
25th Sep
Practice notes
Fraud is the deliberate use of deception or dishonesty to deprive, disadvantage or cause loss (usually financial) to another person or...
Read More >
25th Sep
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...
Read More >
25th Sep
Practice notes
Commercial organisations cannot function without staff. Unfortunately, however, your employees can pose serious threats to your business.Employees can...
Read More >
25th Sep
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,...
Read More >
25th Sep
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...
Read More >
25th Sep
Practice notes
This Practice Note sets out the regulatory requirements that apply to firms providing conveyancing and/or property and mortgage related services.What...
Read More >
25th Sep
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...
Read More >
26th Sep
Precedents
QuestionAdditional guidanceYes/NoAction points (if any)Have you appointed someone who is responsible for overall fraud prevention?Most areas of the...
Read More >
26th Sep
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...
Read More >
26th Sep
Precedents
Reports under the Whistleblowing policy can be made orally or in writing and they may be made anonymously or include the reporter’s identity.To make a...
Read More >
26th Sep
Precedents
How to use this testThese questions are designed to test your understanding after your attendance at training on property and mortgage fraud...
Read More >
26th Sep
Precedents
FORTHCOMING CHANGE: Amendments to the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 to change the definition of a ‘protected caution’...
Read More >
26th Sep
Precedents
1Introduction1.1This fraud prevention policy is designed to encourage awareness of the different types of fraud that could affect the firm and sets...
Read More >
26th Sep
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...
Read More >
26th Sep
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...
Read More >
26th Sep
Precedents
Fraud can take many forms and the type of fraud suspected will dictate the route through which it should be reported, eg money laundering suspicions...
Read More >
26th Sep
Precedents
This presentation has been designed as a training aid that you can use to introduce your staff to fraud prevention and awareness, including property...
Read More >
26th Sep
Precedents
QuestionAnswer1. What is Mortgage Fraud?(b) Where an individual (or individuals) defraud a lender when obtaining a mortgage2. Where can our property...
Read More >
26th Sep

Popular documents