Crime prevention

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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...
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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...
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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...
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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 Crime prevention content

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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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...
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26th Sep
Precedents
As we can be held liable for [bribery OR facilitation of tax evasion OR [insert relevant crime]] committed by an agent or intermediary while acting on...
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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
QuestionAnswer1. What is Mortgage Fraud?(b) Where an individual (or individuals) defraud a lender when obtaining a mortgage2. Where can our property...
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26th Sep
Precedents
1DocumentsThe Chair tabled the following documents:1.1Draft Anti-slavery and human trafficking statement (the Statement)1.2[Memorandum to the [board...
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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
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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26th Sep
Precedents
1Preliminary screening1.1GuidanceIt is important that certain types of fraud are reported and managed via the relevant dedicated reporting mechanism...
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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
What are sanctions?Sanctions are non-permanent international restrictions or prohibitions aimed at:•encouraging a change in the behaviour of a...
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26th Sep
Precedents
If you have any questions related to sanctions compliance, please raise them with [your manager AND/OR a company lawyer AND/OR your trade sanctions...
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26th Sep
Precedents
1Consider seeking external adviceGiven the complicated nature of most sanctions regimes, the potential for offences to have been committed across...
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26th Sep
Precedents
Please supply as much information as possible about this suspected breach.If you require any help to complete this form, please contact [your...
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26th Sep
Precedents
1General informationDate of investigation[insert date]Person conducting investigation[insert name]Date sanctions match report form received[insert...
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26th Sep
Precedents
1General informationDate[Insert date]Name of person completing this response form and action plan[Insert name]Date sanctions breach report form...
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26th Sep
Precedents
This Precedent panic sheet takes you/the nominated officer through the initial steps in responding to a report of knowledge or suspicion of money...
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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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