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Latest Practice Compliance News

US Congress to tackle anticorruption legislation, including bill to outlaw foreign bribe solicitation

The following Corporate Crime news provides comprehensive and up to date legal information on US Congress to tackle anticorruption legislation, including bill to outlaw foreign bribe solicitation

OFAC settlement extends sanctions reach beyond US dollar

The following Corporate Crime news provides comprehensive and up to date legal information on OFAC settlement extends sanctions reach beyond US dollar

Practice Compliance weekly highlights—16 September 2021

The following Practice Compliance news provides comprehensive and up to date legal information on Practice Compliance weekly highlights—16 September 2021

EU to propose ban on forced labour-linked products, Von der Leyen says

The following Commercial news provides comprehensive and up to date legal information on EU to propose ban on forced labour-linked products, Von der Leyen says

Featured Practice Compliance content

What is a solicitor's undertaking?

What is a solicitor's undertaking?An undertaking is a commitment by a solicitor to do something. It can be enforced against the solicitor by the...

SRA Code of Conduct for individuals and firms

SRA Code of Conduct for individuals and firmsThis Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and...

Conflicts of interest 2019

Conflicts of interest 2019Conflicts of interest can cause difficult and serious problems for solicitors and law firms, both from a compliance point of...

Legal Services Board

Legal Services BoardThe Legal Services Board (LSB) is the single independent oversight regulator of the legal profession and sector in England and...

Practice notes

AML and counter-terrorist financing—source of funds and source of wealth

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...

19th May

In-house

Practice notes

The Information Commissioner’s Office (ICO)

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...

19th May

Practice notes

Compliance officer for legal practice—COLP—title and duties 2011 [Archived]

Compliance officer for legal practice—COLP—title and duties 2011 [Archived]The compliance officer for legal practice (COLP) sits at the heart of the...

19th May

Practice notes

Brexit—exiting the EU under Article 50 [Archived]

Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...

Produced in partnership with Adam Cygan of University of Leicester 19th May

Brexit

Practice notes

SRA Accounts Rules 2019

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,...

19th May

Precedents

Modern slavery: contract clauses

1DefinitionsModern Slavery Policy•means the Customer's anti-slavery and human trafficking policy as set out in Schedule [insert] as updated by the...

19th May

In-house

Practice notes

High-risk third countries tracker

High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...

19th May

In-house

Practice notes

Active bribery, passive bribery and bribing foreign public officials

Active bribery, passive bribery and bribing foreign public officialsThe purpose of this Practice Note is to provide a general understanding of the...

Produced in partnership with Joanne Kane of Carmelite Chambers 19th May

Precedents

Standard contractual clauses for international transfers—set II—controller to controller—ICO templates

In briefThis precedent links to: •a template created by the UK Information Commissioner’s Office (ICO) of the ‘Set II’ or ‘2004’ EU Standard...

19th May

Practice notes

Introduction to retained EU law

Introduction to retained EU lawThis Practice Note provides an introduction to retained EU law. It provides an overview of the key definitions and...

Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May

Brexit

Practice notes

Safeguards and information barriers

Safeguards and information barriersProtection of confidential information is fundamental to your relationship with clients, both as a matter of law...

19th May

Practice notes

Undertakings and the SRA 2019

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...

19th May

Practice notes

Duties of confidentiality and disclosure 2019

Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...

19th May

Precedents

Financial sanctions policy

1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...

19th May

Practice notes

SRA Handbook 2011 [Archived]

SRA Handbook 2011 [Archived]The SRA Handbook 2011 sets out standards and requirements that individual lawyers and firms are expected to achieve and...

19th May

Practice notes

Working with European lawyers—the Registered European Lawyer (REL) regime

Working with European lawyers—the Registered European Lawyer (REL) regimeAt 11 pm (GMT) on 31 December 2020, the Brexit transition/implementation...

19th May

Brexit

Most recent Staff training & awareness content

Precedents

Tax evasion facilitation—post-training assessment answers

Tax evasion facilitation—post-training assessment answersQuestionMultiple choice answers1. Under which Act would [insert organisation name] commit an...

15th Aug

Precedents

Modern Slavery—warning signs for staff

Modern Slavery—warning signs for staffAs an organisation we will maintain clear policies and procedures preventing exploitation and human trafficking,...

15th Aug

Precedents

Training materials—tax evasion facilitation

Training materials—tax evasion facilitationThe corporate offence of failure to prevent the criminal facilitation of tax evasion is created by the...

15th Aug

Precedents

Training materials—anti-slavery

Training materials—anti-slaveryThis presentation has been designed as an aid to train your staff on anti-slavery and ensure they have an awareness and...

15th Aug

Precedents

AML and counter-terrorist financing training materials—post-training ‘red flag’ identification exercise answers

AML and counter-terrorist financing training materials—post-training ‘red flag’ identification exercise answersScenario A: Politically exposed...

15th Aug

Precedents

AML training record

AML training recordPlease click for an Excel version of this register.GeneralInsert course name/description and reason for training.Course...

15th Aug

Precedents

Mini training aid-avoiding bribery and corruption—charitable and political donations

Mini training aid-avoiding bribery and corruption—charitable and political donationsThe Bribery Act 2010 (BA 2010) came into force on 1 July 2011. It...

15th Aug

Precedents

AML and terrorist financing training materials—post-training assessment questions—law firms

AML and terrorist financing training materials—post-training assessment questions—law firmsHow to use this testThese questions are designed to test...

15th Aug

Precedents

Anti-slavery training record

Anti-slavery training recordPlease click here for an Excel version of this register.GeneralCourse name/description[Insert course...

15th Aug

Precedents

Training materials—anti-bribery and corruption for law firms

Training materials—anti-bribery and corruption for law firmsThe Bribery Act 2010 (BA 2010) came into force on 1 July 2011. It applies to any business...

15th Aug

Precedents

Tax evasion facilitation—briefing for external agents/intermediaries

Tax evasion facilitation—briefing for external agents/intermediariesIntroductionCompliance with tax evasion and tax evasion facilitation laws is...

15th Aug

Precedents

Training materials—fraud prevention—law firms

Training materials—fraud prevention—law firmsThis presentation has been designed as a training aid that you can use to introduce your staff to fraud...

15th Aug

Precedents

Anti-bribery and corruption—charitable and political donations FAQs

Anti-bribery and corruption—charitable and political donations FAQsWe run our business[es] with integrity. All of us must work together to ensure our...

15th Aug

Precedents

Anti-bribery and corruption for law firms—post-training assessment questions

Anti-bribery and corruption for law firms—post-training assessment questionsHow to use this testThese questions are designed to test your...

15th Aug

Precedents

AML and counter-terrorist financing training materials—post-training ‘red flag’ identification exercise

AML and counter-terrorist financing training materials—post-training ‘red flag’ identification exerciseScenario A: Politically exposed personYou have...

15th Aug

Precedents

Mini training aid—avoiding bribery and corruption—Gifts and hospitality

Mini training aid—avoiding bribery and corruption—Gifts and hospitalityThe Bribery Act 2010 came into force on 1 July 2011. It applies to any business...

15th Aug

Precedents

Mini training aid—avoiding bribery and corruption—agents and intermediaries

Mini training aid—avoiding bribery and corruption—agents and intermediariesThe Bribery Act 2010 (BA 2010) came into force on 1 July 2011. It applies...

15th Aug

Precedents

Fraud prevention training materials—post-training assessment questions—law firms

Fraud prevention training materials—post-training assessment questions—law firmsHow to use this testThese questions are designed to test your...

15th Aug

Precedents

Gifts and hospitality—government officials FAQs

Gifts and hospitality—government officials FAQsWe run our business[es] with integrity. All of us must work together to ensure our business[es]...

15th Aug

Precedents

Training materials—AML and counter-terrorist financing—law firms

Training materials—AML and counter-terrorist financing—law firmsThis presentation has been designed as an aid to train your staff on anti-money...

15th Aug

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Staff training & awareness

View Practice Compliance by content type:

Latest Practice Compliance News

US Congress to tackle anticorruption legislation, including bill to outlaw foreign bribe solicitation

OFAC settlement extends sanctions reach beyond US dollar

Practice Compliance weekly highlights—16 September 2021

EU to propose ban on forced labour-linked products, Von der Leyen says

Featured Practice Compliance content

What is a solicitor's undertaking?

SRA Code of Conduct for individuals and firms

Conflicts of interest 2019

Legal Services Board

Most recent Staff training & awareness content

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Breach of statutory duty

Methods of statutory interpretation used to resolve ambiguities in legislation

Working with counsel

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