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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 Staff training & awareness content

Precedents
The Bribery Act 2010 (BA 2010) came into force on 1 July 2011. It applies to any business that is incorporated or trades in the UK. It covers bribery...
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26th Sep
Precedents
QuestionCorrect answer1. What does ‘SAR’ stand for?(b) Suspicious Activity Report2. Under what Act do you have an obligation to report suspicions of...
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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
The Bribery Act 2010 (BA 2010) came into force on 1 July 2011. It applies to any business that is incorporated or trades in the UK. It covers bribery...
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26th Sep
Precedents
The Bribery Act 2010 (BA 2010) came into force on 1 July 2011. It applies to any business that is incorporated or trades in the UK. It covers bribery...
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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
This presentation has been designed as an aid to train your staff on anti-slavery and ensure they have an awareness and understanding of the Modern...
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26th Sep
Precedents
QuestionMultiple choice answers1. Under which Act would [insert organisation name] commit an offence if it fails to prevent the facilitation of tax...
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26th Sep
Precedents
The Bribery Act 2010 came into force on 1 July 2011. It applies to any business that is incorporated or trades in the UK. It covers bribery committed...
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26th Sep
Precedents
We run our business[es] with integrity. All of us must work together to ensure our business[es] remain[s] untainted by bribery and corruption.This FAQ...
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26th Sep
Precedents
Scenario A: Politically exposed personYou have been approached by a new client with instructions to assist in the purchase of a football club. The...
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26th Sep
Precedents
Scenario A: Politically exposed personYou have been approached by a new client with instructions to assist in the purchase of a football club. The...
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26th Sep
Precedents
We run our business[es] with integrity. All of us must work together to ensure our business[es] remain[s] untainted by bribery and corruption.This FAQ...
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26th Sep
Precedents
The corporate offence of failure to prevent the criminal facilitation of tax evasion is created by the Criminal Finances Act 2017 (CFA 2017),which...
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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...
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26th Sep
Precedents
This presentation has been designed as an aid to train your staff on crime prevention.The training materials are customisable.This version of the...
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26th Sep
Precedents
This presentation has been designed as an aid to train your staff on the offence of participating in the activities of an organised crime group,...
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26th Sep
Precedents
Please click for an Excel version of this register.GeneralInsert course name/description and reason for training.Course name/description[Insert...
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26th Sep
Precedents
1What’s the issue?1.1The Serious Crime Act 2015 (SCA 2015) introduced a new offence of participating in the activities of an organised crime...
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26th Sep
Precedents
QuestionCorrect answer1. How many new offences does the Bribery Act 2010 contain? (b) Four2. What is the ‘bribing another person’ offence? (c)...
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26th Sep

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